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Full text of "University of Massachusetts Board of Trustees records, 1836-2010"

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UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1994 MINUTES 



J 



•COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

1. January 19, 1994 

2. March 29, 1994 

3. May 25, 1994 

4. July 27, 1994 

5. September 13, 1994 

6. November 30, 1994 



COMMITTEE ON ADMINISTRATION AND FINANCE 

1. January 18, 1994 

2. March 15, 1994 

3. May 20, 1994 

4. June 7, 1994 

5. September 29, 1994 

6. November 29, 1994 



•ATHLETIC COMMITTEE 

1. January 24, 1994 

2. March 8, 1994 

3. September 20, 1994 

4. November 21, 1994 



•AUDIT COMMITTEE 

1. January 4, 1994 

2. March 1,1994 

3. July 12, 1994 

4. August 29, 1994 



•COMMITTEE ON EXTERNAL AFFAIRS 

1. October 18, 1994 

2. November 15, 1994 

3. December 22, 1994 



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J 



UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1994 MINUTES 



•EXECUTIVE COMMITTEE 

1. February 1, 1994 

2. April 5, 1994 

3. June 7, 1994 

4. August 9, 1994 

5. October 4, 1994 

6. December 6, 1994 



•BOARD OF TRUSTEES 

1. February 2, 1994 

2. April 6, 1994 

3. June 8, 1994 

4. August 10, 1994 

5. September 23, 1994 

6. October 5, 1994 

7. December 7, 1994 



•PERSONNEL AND DIVERSITY SUBCOMMITTEE 

1. May 4, 1994 

2. June 7, 1994 

3. July 26, 1994 

• ADHOC COMMITTEE ON PERSONNEL AND DIVERSITY 

1. March 1,1994 

2. December 20, 1994 



. 



UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1994 MINUTES 



• COMMITTEE ON ACADEMIC & STUDENT AFFAIRS 

• .COMMITTEE ON ADMINISTRATION & FINANCE 
♦OTHLETIC COMMITTEE 

• AUDIT COMMITTEE 

• COMMITTEE ON EXTERNAL AFFAIRS 

• EXECUTIVE COMMITTEE 

• BOARD OF TRUSTEES 

• PERSONNEL & DIVERSITY SUBCOMMITTEE 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE COMMITTEE ON 
ACADEMIC AND STUDENT AFFAIRS 

Wednesday, January 19, 1994; 3:00 p.m. 

Knapp Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff: Chair McNeil; Trustees DiCara, Finnerty and Poduska; Mrs. Fontaine, 
Secretary to the Board 

Committee Members Absent: Trustees Dickson and Karam 

University Administration: President Hooker; General Counsel Kirby; Executive Vice President 
Sessoms; Ms. Lay ton, Assistant Vice President, Academic Affairs; Ms. Nethersole, Director of Student 
Affairs; Provosts Gordon, Safwat, Anderson and Foy; Professor Leheney, UMASS Amherst 

Guest: Tossie Taylor, Associate Vice Chancellor for Academic Affairs, Higher Education Coordinating 
Council 

Chair McNeil convened the meeting at 3:03 p.m. She welcomed Tossie Taylor, Associate Vice 
Chancellor for Academic Affairs, of the Higher Education Coordinating Council. 

The first item on the agenda was the Award of Tenure on the Worcester campus to Dr. Jack L. 
Leonard, Professor of Nuclear Medicine at UMASS Worcester. Chair McNeil noted that this 
recommendation received full support from all levels at the campus. 

It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to Dr. 
Jack L. Leonard, Professor of Nuclear Medicine, UMASS Worcester. (Doc. T94-014) 

The next item was a Transfer of Tenure for Dr. R. Glenn Brown from the Department of Nutrition to 
the Department of Veterinary and Animal Sciences at UMASS Amherst. Vice President Story commented 
that this transfer would better suit Dr. Brown's teaching and research accomplishments, and that this 
recommendation has the support of the respective department chairs and administrators. 

It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the transfer of tenure of Dr. R. 
Glenn Brown from the Department of Nutrition to the Department of Veterinary and 
Animal Sciences, UMASS Amherst. (Doc. T94-017) 

Vice President Story then made several announcements. First, he commented on the status of the 
proposed collaborative Nursing Ph.D. Program. He indicated that a revised document has been prepared 
which is more collaborative and identifies the strengths at both Amherst and Worcester, and that the 
award of the degree will be from the campus of the dissertation advisor, but must have the approval of 
the other campus. He said that there will be a review of the program by an outside visitation team and, 
upon completion, the proposal will be before the Higher Education Coordinating Council in March. 



He also said a Program Review Policy (previously undertaken by the former Board of Regents) for 
the system is being developed. This Policy is expected for review by the Committee in the Spring. 

Finally, he reported on the Engineering Study commissioned for the system to study the engineering 
colleges and programs at UMASS Amherst, Dartmouth and Lowell. It is expected that a report will be 
made available to the Committee in the near future. 

Turning to the discussion items, Vice President Story started the discussion of the Report on 
Achieving Tenure by giving some history and background comments. The idea of tenure as a system is a 
concept of the American Association of Professors (AAUP) which is a professional organization founded 
in World War I to defend faculty who opposed American participation in that war. Tenure became more 
widespread in the early 1920's. It spread in the north, mostly in elite universities, but it included even the 
big 10 and big California universities. It was formalized and strengthened in the 1940's when the AAUP 
issued guidelines about tenure. It has become an issue in the late 1980's and 1990's for financial reasons 
and concern about long term quality, particularly with the elimination of mandatory retirement, and 
there is a question of redirection of the institution. Tenure does protect faculty rights so it continues to 
serve the purpose for which it was originally instituted. 

Chair McNeil said part of the reason for looking at the tenure process was the issue of quality and 
whether quality is being maintained. The second part is whether the University should have a process of 
review for senior faculty members and that issue needs further discussion at the campus level and by the 
Board. 

In response to a question, President Hooker said there are two large generic questions that should be 
asked in looking at whether tenure serves the academy. One question is whether it is important to 
guarantee quality in the academic process to guarantee faculty the right to express unpopular views. The 
other large generic question is whether tenure works to reduce faculty productivity. President Hooker 
added that he thinks there will be in the coming decade three responses to the "problem" of tenure: some 
system of periodic review of tenured faculty more in-depth than present annual review, an effort to cap 
tenure at age of 65, and efforts by some state legislators to abolish tenure or to mandate faculty 
workloads. 

After additional discussion, Chair McNeil then asked the Provosts to respond to this issue. Among 
the comments, the provosts mentioned the need to address standards for promotion and the reward 
system and faculty development. In concluding the discussion, Chair McNeil indicated that this needed 
further discussion and asked the Provosts to raise the issue at the campuses as well. 

Vice President Story then introduced Ms. Rita Nethersole, Director of Student Affairs who then made 
a presentation to the Committee on Community College Articulation . The Committee commended Ms. 
Nethersole on this report and its organization and brevity. 

Ms. Nethersole said the issue of articulation between UMASS and the Community Colleges has 
become more significant over the past several years with the growth of the system and the increases in 
costs of attendance at state institutions. In addition, the issue of articulation is linked to a variety of other 
higher education concerns including segmental mission, cost, admissions policy, financial aid, diversity 
and enrollment management. Ms. Nethersole summarized the existing articulation agreements and the 
issues and requirements: the HECC Transfer Compact, the Joint Admissions Project and specific 
agreements between individual UMASS Departments and Community Colleges. 

Vice Chancellor Tossie Taylor commented on the importance of the report and said that this issue 
presents an opportunity for a tremendous amount of dialogue within the system. 

Vice Chancellor Foy then spoke to the Committee about the added item to the agenda, Under- 
Enrolled Programs and the Role of Continuing Education . He informed the Committee that as a step 

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toward focusing the campus' limited resources on its strategic core, a review of the under-enrolled degree 
programs was conducted during the Fall of 1993. As a result of the process, a campus decision has been 
made not to accept new students into nine degree-granting programs. Those programs are: at the 
master's level, Polymer Science, System Engineering, Music Theory /Composition and Musicology; and at 
the Bachelor's level, French, Spanish, Radiological Health Physics, Music Composition, and Music 
History/Literature. 

Assistant Vice President Layton then distributed and spoke to the results of the survey of members of 
the legislature and key staff officials. The survey, which was undertaken in November /December, 
received a 42% response rate. The results showed that access to the University and the quality of teaching 
are considered top priorities. The next step is to incorporate results into the report card, as well as 
communicate the results to the Legislature and disseminate them to the campuses. On the report card 
itself, she said it should be available by April. Vice President Story acknowledged the assistance of 
graduate intern Alice Gail Bier in this effort. 

Assistant Vice President Layton then spoke to the Five Campus Peer Study Update and distributed 
information about expenditures per student, student revenues per student, state revenues per student, 
state vs. student share over time and state vs. student share compared to peers. At UMASS, revenues 
from students rose significantly higher than at peer institutions between FY89 and FY92 while 
expenditures rose only modestly and state revenues declined severely. State revenue now accounts for 
half or less of total revenue and student share has risen to 50% in 1992. 

Vice President Story also thanked Matthew Chiccuarelli, for his help in putting together the Peer 
Study Information. 

There being no further business, the meeting adjourned at 4:52 p.m. 

' c. 

Cynthia A. Fontaine 

Secretary to the Board of Trustees 





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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON -DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, March 29, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Finnerty and Poduska; Mrs. Fontaine, 
Secretary to the Board 

Committee Members Absent : Trustees Dickson, DiCara and Karam 

University Administration : President Hooker; Vice President Story, Ms Layton, Assistant Vice President; 
Ms. Nethersole, Director of Student Affairs; Provosts Gordon, Safwat, Anderson and Bratt; Vice 
Chancellor Foy 

The meeting convened at 3:05 p.m. Vice President Story made the following announcements: the 
Higher Education Coordinating Council (HECC) has approved the Collaborative Ph.D. Program in 
Nursing at Amherst and Worcester; the Stage 1 proposal in Organismic and Entomology at the Amherst 
Campus is also expected to be approved at the next meeting of the HECC. He also noted that a 
comprehensive Engineering Study is nearing completion and will soon be sent out for campus comment, 
review and response. The report will help guide the University in the disposition of pending programs in 
Engineering and help shape future developments in Engineering. Finally, he said the Report Card to the 
Legislature is expected to be finished by the end of next month. 

The first item on the agenda was Awards of Tenure, UMASS AmhersL UMASS Boston . Trustee 
Finnerty asked about the ratio of tenured faculty to all faculty within the system. Vice President Story 
answered that it is about two thirds, virtually the same as it was last year because there have been few 
hires. It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure 
to the following individuals: 

Amherst 

Dorothy Gilbert - Nursing 

Karen Heifer - Communications Disorders 

Matthew Kelty - Forestry and Wildlife Management 

M. Christine King - Nursing 

John Kingston - Linguistics 

Randall Knoper - English 

Patricia Lasch - Art 

Craig Martin - Chemistry 

David K. Scott - Physics and Astronomy 

Nancy Sheard - Nutrition 

Nathaniel Whi taker - Mathematics and Statistics 



Boston 

Jane Adams - Psychology 

Randy Albelda - Economics 

Jill Rierdan - Psychology (Doc. T94-042) 

The next item was a formal resolution withdrawing the Doctor of Nursing Science Program, 
UMASS Lowell from the Higher Education Coordinating Council agenda while the University explores 
the potential for a collaborative program between Lowell and Boston. 

It was moved, seconded and 

VOTED : To recommend that the Board withdraw from further consideration by the Higher 
Education Coordinating Council, the Stage II proposal for a Doctor of Nursing Science at 
UMASS Lowell as contained in Doc. T91-112. 

The next item was a Stage II proposal for a M.A. in Teaching , UMASS Dartmouth. Vice President 
Story noted the Stage 1 proposal was approved in 1991 and is in step with the campus's plan to develop 
programs at the graduate level. It also accommodates the new accreditation rules and taps into existing 
programs on the campus. 

Provost Anderson introduced Suzanne Buckley, Dean of College of Arts and Sciences who spoke 
about how the proposed program would build on the strengths of the Colleges in outreach and 
community programs. It was moved, seconded and 

VOTED : To recommend that the Board approve the Stage II proposal for a Master of Arts 
in Teaching at UMASS Dartmouth as contained in Doc. T91-112. 

Under item B, Discussion Items, Assistant Vice President Layton spoke about the Centers and 
Institutes Report. She distributed a page omitted from the report. She summarized the information in 
the report noting that Centers and Institutes cover a wide range of categories and disciplines. Across the 
system we have 66 centers and institutes, 9 of which can be traced to legislative action. Overall in 1992-93 
Centers and Institutes brought in $38 million in revenue with a vast majority being in grants and 
contracts. The basic conclusion is that these organizations are important vehicles for faculty, do not take 
enormous institutional resources, but should nevertheless be overseen carefully at the campus level. 

Assistant Vice President Layton then summarized recommendations in the report: 

1. Approval and review of Centers and Institutes should be a campus-based activity. Campus policies 
governing the approval and review of centers and institutes should be approved by the Board of 
Trustees. 

2. Campus policies governing approval and review should include a set of common criteria for 
evaluating proposed Centers and reviewing existing ones. These criteria should include, for new 
Centers, appropriateness to mission and goals of the campus and adequacy of resources, including 
capital investment. Criteria for the review of existing centers should include success in meeting its 
goals and objectives and substantive contribution to the mission of the campus. All campus policies 
should provide for the periodic review of Centers and Institutes. 

3. The establishment of a new Center or Institute should be reported to the President but should not 
require the approval of the President or the Board of Trustees. Reviews of Centers and Institutes 
should be sent to the President for the record. 



-2- 



i 4. All Centers and Institutes, whether they are free-standing units outside a particular school, or sub- 

units of schools, colleges, or departments, should be included under the purview of campus policies 
for approval and review. 

The next item on the agenda was Financial Aid Administration . Vice President Story introduced Ms. 
Nethersole who explained how the campuses have responded to problems of financial aid delivery and 
specifically the problems with electronic transfer applications and disbursement of funds. 

She noted that vacant positions within the Financial Aid Offices are being filled and all campuses 
have provided short-term loans to assist the students. 

She then outlined steps to help solve financial aid problems: 

• Filling vacant positions in the Financial Aid Offices, hiring of additional staff, particularly 
counseling staff, to increase front desk assistance and facilitate re-evaluation and verification; 

•Working with American Student Assistance (ASA), the state guarantee agency, to find ways to 
improve services, and to arrange for provision of enhanced electronic capabilities to improve 
processing for the 1994-95 loan cycle. ASA will also allow universities to transmit loan application 
information earlier, thus allowing for the disbursement of funds to campuses before the school 
years begins; 

•Adding TQM training and Customer Service Training Programs; 

•Investigate system wide participation in Direct Lending for improvement of service to students; the 
Amherst and Lowell campuses have already applied to participate. The Direct Lending Program 
" lends money from the federal government directly to students without the use of a state guarantor. 

Processing and disbursement under Direct Lending promises to be a more efficient operation; 

•Increased informational activities to students including regular mailings, seminars and computer 
bulletin boards designed to keep student aware and informed of their role in providing information 
to the Financial Aid Offices. 

The Committee also heard from Mr. James Morris, Dean, Enrollment Services from the Boston 
campus, who spoke about the specific problems and the steps being taken to remedy the situation as well 
as expectations for the upcoming academic year. 

Vice President Story then introduced the discussion of the Academic Program Review . A report by 
Professor Patricia Crosson from the Amherst campus was commissioned as background information for 
the development of a University-wide program review policy. This report has led to a set of 
recommendations which are being reviewed by the campuses and he said he expects recommendations to 
come to the Board. 

Vice President Story outlined the major features of draft guidelines: 

Campus Program Review Guidelines - This review is for the purpose of improving program quality. 
There is built into it a strong discipline presence and external presence. There is a provision in this policy 
for collaborative programs. The three criteria to guide the process are: reputation, productivity, and 
connectedness. These criteria are equally weighted. 

Major Reallocation Reviews add additional criteria, cenrxality to mission and cost effectiveness. The 
P system-wide reviews allow the University to trigger reviews in particular fields across the University as 

needed. He noted that it would be difficult and counter-productive to do a quality and a reallocation 
review simultaneously. 

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There was a lengthy discussion about the importance of the quality and reallocation reviews and 
questions were raised about process criteria and riming. The campuses have done quality reviews in the 
past, but it was stressed that what is important is for the administration to act on the reviews. 

The Provosts commented on the proposal noting the need for continued campus discussion. 

It was suggested that updates on this item be periodically added to this Committee's agenda. 

Under informational items, Ms. Nethersole updated the Committee on the Wrap-Around Electronic 
Admissions Applications . She reported that the project has generated 2328 response cards to date and 
could possibly receive 1000 more. The majority of responses come from females and Massachusetts 
residents. The Amherst campus generated the majority of responses with the Dartmouth campus coming 
in second. The University is now looking into programs that allow an electronic application including 
electronic submission of transcripts, recommendations and test scores. 

The next item was the University Academic Program Brochure which was distributed to the 
Committee and lists all University Academic Programs. This brochure will be used in the system office 
and on the campuses for system-wide recruiting. 

The last item was a Report on the Federal Budg et. The Department of Education has received an 
increase of 7% over its discretionary budget, an increase of $26.1 billion. The proposed budget would 
restore the largest Pell Grant to $2400 which is the largest financial aid program in the nation. In 1993-94, 
students from UMASS have received over $13 million in Pell grants. Overall, there will be a net gain of 
$1.2 billion in federal aid programs. An increase in the College Work Study Program includes 5% to 
support students working in community service activities. 

There being no further business to come before the Committee, the meeting adjourned at 4:50 p.m. 




irbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON -DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, May 25, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Finnerty and Poduska; Ms. Tuthill, Assistant 
Vice President for Board Relations 

Committee Members Absent : Trustees Dickson, DiCara and Karam 

University Administration : President Hooker; Vice President Story, Ms. Layton, Assistant Vice 
President; Ms. Nethersole, Director of Student Affairs; Provosts Gordon, Andersen and Bratt; Associate 
Vice Chancellor Wagner 

The meeting convened at 3:05 p.m. Chair McNeil introduced the agenda and turned to Vice 
President Ronald Story regarding the first Policy item on the agenda, Codes of Student Conduct . Ms. 
Nethersole, Director of Student Affairs, reminded the Committee that this item is one of many in the 
University's policy review program. The major goals in this five campus policy was to make the Codes 
consistent regarding behavior, sanctions, processes, rights, etc. in the face of individual campus needs. 
These codes also bring the campuses into compliance with the Crime Awareness and Campus Security 
Act of 1990. The Boston campus review is not fully complete and should be finished in the fall but the 
existing code will be included in this approval. The process was mainly driven by a legal process, begun 
in January. It was moved, seconded and 

VOTED : To recommend that the Board approve the Codes of Student Conduct for the Amherst, 
Boston, Dartmouth and Lowell campuses as contained in Doc. T94-059. Further, to 
rescind Doc's T93-055A and T87-037B, and all other policies (or any part thereof) 
currently in effect in the University which are inconsistent herewith. 

The next Policy item on the agenda was the Constitution of Student Government Association, 
UMASS Amherst . Vice President Story turned to Ms. Nethersole who recognized the work of Senior 
Counsel William Searson, Vice Chancellor Robinson and the outgoing Student Attorney General, Matt 
Malone. This Constitution comes before the Committee in advance of the other campus' constitutions 
due to the extensive work of the SGA students who are graduating this year. Vice Chancellor Robinson 
recognized this constitution as a major accomplishment for UMASS Amherst, in particular, recognized 
the leadership of Matt Malone and his peers, staff, and legal counsel, in the document. Matt Malone 
spoke to the monumental undertaking that this Constitution represents, noting that the goal was to write 
and establish a constitution that was practical, efficient and democratic, acceptable and accessible to 
students and administrators. They reviewed many other institutions' student Constitutions and State and 
Federal Constitutions, and put the draft in the hands of many for review and incorporated all changes. 

Chair McNeil asked Mr. Malone to introduce the other students who were involved in this work: 
Christine Lopes, Mirren Raphaelly, Lynne Robataille, Steve Cohen, Amy Boyd, Bill McNamara and 
Trustee Lizana. Chair McNeil further recognized the excellent work of the students and praised the 
inclusiveness of the process. Mr. Malone recognized that their ability to achieve finality on the document 
is due to the greater cooperation between students and administration and the more bureaucratic rather 



than political nature of the document. Trustee Lizana further recognized the leadership and dedication 
of Matt Malone in bringing the document to fruition. It was moved, seconded and 

VOTED : To recommend that the Board approve the Constitution of the Student Government 
Association at the Amherst campus as contained in Doc. T94-060. 

The next item on the agenda for action were the Awards of Tenure UMASS Amherst. Boston, 
Dartmouth. Worcester and the A ppointment with Tenure. UMASS Dartmouth . Vice President Story 
asked it to be noted that the Amherst cases should read "excellent" in Research as opposed to "strong" in 
research. Further, the information for the award of tenure at UMASS Worcester was not in the mailing 
but was distributed at the table; Provost Bratt noted that the vote by the Executive Council of Faculty 
should read "14-0-1" given that there was not a vote against, but an abstention. This tenure pool includes 
1 African- American and 5 women out of the 11 cases. It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to the 
following individuals in the following Departments: 

Amherst 

Neal Anderson— Electrical and Computer Engineering 

Yossi Chait— Mechanical Engineering 

Boston 

Judith Goleman— English 
Mary O'Brien—Nursing 
Pamela Jones Roth well— Art 
Frank Porell— Gerontology 
Nancy Smith-Hefner— English 

Dartmouth 

Helen Fine— Management/Human Resources 

Raymond Laoulache— Mechanical Engineering 

Worcester 

Jon Goguen— Molecular Genetics and Microbiology 

(Doc. T94-056) 



And further, 



To recommend that the Board concur with the President in the appointment of Dr. 
Lawrence B. Logan as Associate Professor in the Department of Accounting and Finance 
with tenure at UMASS Dartmouth. (Doc. T94-061) 

The next item for action was the M.A./PH.D. in Afro-American Studies, UMASS Amherst . Chair 
McNeil noted the excellence of the proposal for this program and commended the Committee for a job 
well done. Vice President Story then spoke to the proposal, recognizing it as an exceptionally well- 
crafted proposal and further noted its importance as being interdisciplinary as well as intercampus in 
nature as it includes UMASS Boston faculty. The proposal has received widespread support and Vice 
President Story read very strong comments from letters of support from institutions throughout the 
country which were solicited, particularly to determine support for the program and the job market for 
graduates. In addition, School Superintendent Negroni of Springfield, Superintendent Garvey of 
Worcester and Mayor Menino of Boston offered strong endorsement and cited the need for this type of 
training for future school leaders. 



Chair McNeil asked that the members of the Afro-American Studies department introduce 
themselves. They include Professors Michael Thelwell, John Bracey, Ernest Allen and Chair of the 
Department, Esther Terry. Trustee Lizana remarked that this type of program has the potential to 
stabilize the relationships between students on the campus in the area of race relations, particularly as 
many of the student leaders who are Afro-American Studies majors may continue their studies as 
graduates and hold the institutional memory. Provost Gordon noted the importance of this type of 
interdisciplinary program as generating and offering the varied perspectives necessary in higher 
education. It was moved, seconded and 

VOTED : To recommend that the Board approve the Stage 1 proposal for a M.A./PH.D. in Afro- 
American Studies academic degree program at UMASS Amherst as contained in Doc. 
T94-057. 

Vice President Story informed the Committee that Stage 2 and the next review may take place in 
October given the extraordinary preparation in the Stage 1 proposal. The proposal is, however, subject to 
the HECC review. Trustee Poduska further offered any appropriate support that the Trustee's might give 
to ensure the timeline for approval. 

The next item on the agenda was the establishing of the Frederick S. Troy Professorship, and the 
Designatio n of Lloyd Schwartz as the Frederick S. Troy Professor, UMASS Boston. Chair McNeil 
remarked on this excellent recognition of Dr. Troy in establishing this Chair. Provost-designate Esposito 
spoke to the highly acclaimed work of Professor Schwartz in the area of criticism and creative writing and 
the pride that the Boston campus takes in his being a member of the faculty. It was moved, seconded and 

VOTED : To recommend that the Board approve the establishment of the Frederick S. Troy 
Professorship as contained in Doc. T94-058. 

And further, 

To recommend that the Board designate Professor Lloyd Schwartz as the Frederick S. 
Troy Professor at UMASS Boston as contained in Doc. T94-058, Addendum 1. 

The next item on the agenda was an informational item, a report on the Ad Hoc Committee on 
Personnel and Diversity . Chair McNeil turned to Vice President and General Counsel Kirby to report on 
this Committee in the absence of Trustee Reed. There were three items discussed at the May 4 meeting. 
The first was Affirmative Action plans which the Subcommittee agreed should be made available to the 
Board every three years with annual updates provided. Each campus would have their plan reviewed at 
upcoming Committee meetings. The Affirmative Action plans will be brought to the Board through the 
Executive Committee. The second item was the Workforce Redesign Policy which was brought forward 
from the Medical Center. Deputy Chancellor Stanton had reported at the meeting that any reductions in 
force would be handled under existing policy and the issue was tabled until further notice. The last item 
on that agenda was the report by Chancellor Hogan on the Diversity Task Force which will have another 
draft report in June and the final report will be available in October. 

The next information item on the agenda was School-University Collaboration . Assistant Vice 
President Layton reported on an informational study conducted over the past 18 months which 
originated with a request by President Hooker shortly after he arrived. The findings include: 

1. Faculty and staff are engaged in well over 300 projects, system-wide, that deal with schools, and 
cover all areas of the University, all levels of the K-12 sector and dozens of communities. 

2. Half of the projects involve students, including counseling programs to educational experiences. 

3. Another one-third of the projects involve professional development opportunities for teachers, 
exclusive of the teacher education preparation programs. 



4. A good number of projects involve faculty in curriculum development and instructional tools 
including software or particular topic focus. 

5. There are a few projects dealing in school-wide reform which include consultation on planning, 
involvement in particular topics, working with the Mass. Department of Education on a reform 
initiative, etc. 

6. Several are aimed at leadership development or assistance to school administrators, 

7. A few projects are community or family-based but related to schools. 

8. Approximately half of the projects originate from the Amherst campus; system-wide 
approximately one-third of the projects originate from schools or departments of Education with 
the other two-thirds from various departments and a good number in math and science. 

9. There are a few multi-campus projects including UPDATE, Physics Alliance, and Upward Bound. 

Ms. Layton then suggested that, in terms of next steps, this information could generate positive public 
relations information and has been given to the Vice President for University Relations and Development. 
In addition, all of the Provosts have the materials and they are encouraged to use this for public relations 
but also to disseminate this to build a network of people involved in the same kinds of projects. Ms. 
Layton identified that where Amherst is responsible for about 50% of the programs, Worcester, Lowell 
and Boston hold approximately 12-13% each of the mix and Dartmouth has approximately 9%. Provost 
Bratt expanded on the information given regarding the programs at Worcester which are quite extensive 
given the level of educational programs at the Medical Center. Trustee Lizana commented on the 
importance of this type of information in informing members of the Legislature about the extensive work 
that the University does in the state. There was additional discussion about the potential funding from 
the Federal government for these kinds of programs. 

Chair McNeil then announced that this would be Vice President Story's last Committee meeting as he 
will be leaving to work at the Amherst campus and expressed her thanks to him. Vice President Allen 
Sessoms will assume the position of Acting Vice President for Academic Affairs. Chair McNeil 
recognized the leadership and effort of Vice President Story in bringing the University fully into a system 
of higher education. Vice President Story noted that he enjoyed his position as VP for Academic Affairs, 
and appreciated the opportunity to work with three fine Committee Chairs, including Trustees Taylor, 
Poduska, and McNeil. He also noted the commitment of Trustee Finnerty to this Committee and 
expressed his appreciation to the Provosts, the Academic and Student Affairs Department staff, Ms. 
Layton and Ms. Nethersole, and his enjoyment working with President Hooker. 

There being no further business to come before the Committee, the meeting adjourned at 3:55 p.m. 




Elizabeth H. Tuthill 

Assistant Vice President for Board 

Relations 



-4- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, July 27, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty and Karam; Vice President 
and Secretary Boyd; Ms. Tuthill, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees McNeil, Morrissey and Poduska 

Other Trustees : Trustee Bok 

University Administration : Vice President Sessoms; General Counsel Kirby; Chancellors Cressy and 
Hogan; Provosts Gordon, Andersen, Bratt and Tripathy; Engineering Deans Curry, Crugnola, Goldstein 
and Kibel; Nursing Deans Cherry, Dreher, Goodman, Stecchi; Nancy Dluhy, UMD College of Nursing 

Guests : Larry McKenna 

Trustee DiCara convened the meeting at 3:05 p.m. in the absence of Trustee Taylor who is chairing 
the meeting in the absence of Trustee McNeil, and suggested that the Committee begin with the action 
item, recommendations on the Future of Engineering . Vice President Sessoms described the intent of the 
University Administration in undertaking this first system-wide study in one department. He thanked 
the individuals who contributed to the study's completion. Mr. Sessoms went on the describe the 
situation in engineering which made the study so important. He synthesized the recommendations of the 
report and asked the Committee to refer to the vote which lays out the specific terms of the immediate 
future. Vice President Sessoms said further that, though there may be some disagreement on the specifics 
of the vote, there is overall agreement that this study has produced very positive discussion. 

Dean Thomas Curry from UMASS Dartmouth then presented, on behalf of the four campus deans, 
their collective response to the study and the vote that is before the Committee. He passed out materials 
which outline this response, reviewing the purpose, chronology, and importance of the study. The areas 
of concern which Dean Curry identified include: the restriction on new program resources; the restriction 
on state-funded faculty lines; the restriction on new facilities. Discussion on faculty positions ensued, and 
it was determined that the resources for hiring faculty members, that is, the number of tenure track 
faculty currently employed, not the actual number of faculty line positions available was at issue. The 
vote does not authorize control of actual faculty lines from the central office; the proposal is designed to 
keep the total number of faculty in engineering from increasing when there currently exists an excess. 
The vote would establish the Task Force and give it particular guidelines in the area of faculty hiring, but 
would report back to the Board with a more specific, longer-term recommendation. 

Mr. McKenna, was recognized by the Chair and spoke to the Committee about the study's genesis 
and, in particular, the issue of faculty headcount. Mr. McKenna described the study group's focus on 
developing a balance among the difficult areas, with their greatest concern being a determination of the 
basis for existence of some of the programs, and the headcount constraint was suggested in order to urge 
the deans to make the difficult decisions. 



Further discussion led the Committee to agree to amend the current vote by changing the original 
date of the Task Force report to the Board from June, 1995 to December, 1994 and clarified the language 
regarding faculty positions and next steps for the Board to take, lacking satisfactory progress by the Task 
Force by the December deadline. The Chairman suggested that the Committee move to the other 
business on the action agenda and then return to this vote. 

The second item on the agenda was Awards of Tenure, UMASS Amherst. Boston. Lowell and 
Worcester . Several of the Trustees expressed interest in the award process and the high percentage of 
tenured faculty. One reason why the rates of tenured faculty is so high is that there is a high percentage 
of tenured faculty of retirement age who are not retiring. It was suggested that this issue be studied to 
determine the potential seriousness of the percentage of aging non-retiring faculty. In addition, the hiring 
decisions were discussed as being increasingly important as there is a higher percentage of persons hired, 
who are highly qualified for tenure due to a higher level of selectivity in the applicant pools. 



After further questions on specific candidates for tenure, Chair Taylor made the motion, 
seconded and 



It was 



VOTED : To recommend that the Board concur with the President in the award of tenure to the 
following individuals in the following Departments: 

Amherst 

Anne Averill, Entomology 

Yon-Chun Chou, Industrial Engineering & Operations Research 

Jeanette Cole, Art 

Susan Han, Plant & Soil Sciences 

Marcellette Williams, English 

Boston 
■* Elizabeth Fay, English 

Marietta Schwartz, Chemistry 
Lynne Tirrell, Philosophy 

Lowell 

John Buford, Computer Science 

Robert Karasek, Work Environment 

Efrem Mallach, Manufacturing & Management Information Systems 

Margaret Manion, Promotion to Librarian III & Tenure 

Sammy Shina, Mechanical Engineering 

Chris Tilly, Policy & Planning 



Worcester 

Craig Ferris, Psychiatry 



(Doc. T94-072) 



Chancellor Hogan noted that there are two more cases from the Lowell campus that have been 
recommended by the campus for tenure. Lacking the specific additional information that was requested 
by the President for bringing these two cases for the Committee, they are not on the agenda today. 

Chair Taylor then returned to the vote on the Future of Engineering . It was moved, seconded and 

VOTED : To recommend that the Board commend the Engineering Study Team for its outstanding 
Report on the engineering programs of our constituent campuses. 



And, 



> 



To authorize and direct the President to commence implementation of the Report's 
recommendations as follows: 

Individual Campus Implementation of Report Recommendations 5,7,8,10,11,12 

1. To direct each campus to begin implementation of Report Recommendations 5, 7, 8, 10, 
11 and 12. Chancellors shall report to the President and the Board no later than October, 
1995 on steps taken by their respective deans to begin implementation of this set of 
recommendations. 

Collective Implementation of Report Recommendations 1,2,3, 4, 6, 9, 13 

2. To appoint a Task Force, to be chaired by the Vice President for Academic Affairs and 
including the engineering deans from Amherst, Dartmouth and Lowell and the Dean of 
the Faculty of Sciences at Boston, and one or more representatives from industry. The 
Charge of the Task Force will be: 1) to develop a long-term plan for the implementation 
of Report Recommendations 1, 2, 3, 4, 6, 9 and 13, and especially for the development and 
allocation of programs, facilities and faculty positions within the System, and, within the 
constraints of limited resources; 2) to invite collaborative proposals in 
telecommunications engineering and other new fields highlighted by the Report; and 3) 
to proceed with the development of a Boston-area undergraduate program through the 
deployment of existing resources. 

In carrying out its charge, the Task force shall work within the following constraints: 

- There should be no new free-standing, single-campus undergraduate or graduate 
engineering programs not already approved by the Board. Exceptions may be 

"* recommended to the Committee on Academic and Student Affairs only where a campus 
can clearly demonstrate to the satisfaction of the Task Force that it can offer such a 
program without incurring additional costs, or can cover all new costs from internal 
reallocation, including program closures or reductions, and that it can meet standard 
criteria for program approval. 

- Lacking guidance from the Task Force for reallocating engineering resources from 
campuses with excess capacity to campuses with need by the December 7, 1994 Board 
meeting, there should be no net new state-funded faculty positions in engineering within 
the System. An exception to this guideline may occur where the addition of such 
positions is clearly intended to increase faculty diversity and such position is approved 
by the Board. 

- There should be no new engineering facilities except those already initiated and in the 
construction stage. Where possible, facilities already in the construction stage shall 
include full distance education capacity and shall be supported by substantial non-state 
funding. 

The foregoing will be in effect as interim measures until the Board takes other actions in 
light of recommendations made by the Task Force. 

And, 

To direct the President to report on the progress of the Task Force to the Board at its 
December meeting and regularly thereafter. 



Trustee Karam noted his abstention from the vote. 

The next item to come before the Committee was the A ppointments with Tenure, UMASS Amherst 
and Boston . It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the appointments with tenure 
to the following individuals in the following Departments: 

Amherst 

Arturo Escobar, Anthropology 
Lila Gierasch, Chemistry 
Derek Lovely, Microbiology 

Boston 

Woodruff Smith, History (Dean of the Liberal Arts Faculty in the College of Arts and 

Sciences) 

(Doc. T94-073) 

The next item on the agenda was the Designation of Distinguished Professor, UMASS Amherst. It 
was moved, seconded and 

VOTED : To recommend that the Board designate Dr. H. Henning Winter as Distinguished 
Professor at UMASS Amherst as contained in Doc. T94-076. 

The next item on the agenda was the Master of Arts in Dispute Resolution, UMASS Boston . Vice 
President Sessoms noted that this program has been very popular at the UMASS Boston campus and it 
will be a very positive addition on the masters level. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the Stage II proposal for a Masters of Arts in 
Dispute Resolution at UMASS Boston as contained in Doc. T93-028, Addendum 1. 

The next item on the agenda for discussion was Doctoral Education in Nursing . Vice President 
Sessoms noted that this is the first opportunity the Committee has had to discuss nursing education and 
introduced the deans of the nursing schools who were present to provide information about their 
programs. Specifically, the discussion focused on the possibility of establishing a collaborative program 
between UMASS Boston and Lowell which will emphasize the policy side of nursing education, unlike 
the clinical program between UMASS Amherst and Worcester. Vice President Sessoms went on to refer 
to documentation which supports the need for the additional Ph.D. program. 

Dean Brenda Cherry (UMASS Boston) and Dean Jan Stecchi (UMASS Lowell) presented information 
to the Committee on the background and purposes of the proposed collaborative program between the 
two campuses. Dean Melanie Dreher (UMASS Amherst) and Dean Lillian Goodman (UMASS Worcester) 
spoke to the early successes of the new program between the two campuses, and the importance of the 
collaborative Ph.D. between Boston and Lowell. Further, Nancy Dluhy, Director of Graduate Programs at 
the Dartmouth campus's School of Nursing, spoke to their support that she and her colleagues offer to 
this endeavor. Chair Taylor noted that the Trustees continue to encourage collaborative programs among 
the campuses, such as the Worcester-Amherst program, and look forward to hearing about the progress 
of the proposed program between Boston and Lowell. He further asked the nursing deans at Boston and 
Lowell to be sure to offer information about the need for this degree on the job market to ensure the 
usefulness and the defensibility of the program before the legislature and the citizens of the 



-4- 



Commonwealth. Chair Taylor then thanked Vice President Sessoms for bringing this discussion before 
the Committee. 

The final discussion item was the Draft Measurable Goals for Teaching and Learning . Chair Taylor 
urged the Chancellors to take every indicator and write it so that the Trustees can identify the target 
described in the indicator and it should be clear to whoever reads the reports that the campus has 
succeeded or failed within the words of the indicator. Chair Taylor further noted that this information 
will be an effective management tool that should be used by all people on the campuses. 

Chair Taylor then asked Chancellor Cressy to introduce the new Provost at UMASS Dartmouth, Dr. 
Benjamin Taggie from Millersville University of The Pennsylvania State System. Chair Taylor recognized 
Dr. Bryce Anderson for his work as Acting Provost at UMASS Dartmouth. He further thanked outgoing 
Provost Glen Gordon from the UMASS Amherst campus for his work on behalf of the University as 
Provost for the past three years. 

There being no further business to come before the Committee, the meeting adjourned at 5:40 p.m. 

Elizabeth H. Tuthill 

Assistant Vice President for Board 

Relations 




§ 



-5- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, September 13, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty, Morrissey and Poduska; Vice 
President and Secretary Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Karam and McNeil 

University Administration : Vice President Sessoms; Chancellor Cressy; Provosts Crosson, Esposito, 
Bratt, Taggie, and Tripathy; Nursing Deans Cherry and Stecchi; Deputy Provost Aitken; Ms. Layton, 
Assistant Vice President; Ms. Nethersole, Director of Student Affairs; Ms. Griesemer, Associate Vice 
President 

Trustee DiCara convened the meeting at 3:05 p.m. in the absence of Trustee McNeil, and at the 
request of Chancellor Cressy, began with action item #3 on the agenda, Appointment with Tenure, 
UMASS Dartmouth . Chancellor Cressy introduced Dr. Benjamin Taggie, and reiterated his 
recommendation to the President that Dr. Taggie be appointed with tenure. 

It was moved, seconded and 

rj 

VOTED: To recommend that the Board concur with the President in the appointment of Dr. ^ 

Benjamin Taggie as Professor in the History Department, with tenure at UMASS -j 

Dartmouth. (Doc. T94-087) * 

The next item on the agenda was the Associate of Science Degree with Individual Concentration, 
Stage II, UMASS Amherst . Provost Crosson said the program is modeled on the BDIC degree that has 
been very successful over many years. The ADIC is designed for students in the Stockbridge School. The 
program offers students an opportunity to design an interdisciplinary program giving them a specialized 
concentration. This program does not demand additional resources as it utilizes current faculty and 
courses. They anticipate that there would be approximately 10-12 students in the program at any one 
time. Vice President Sessoms explained that the proposal was being submitted as a Stage II without a 
Stage I review because it is exceedingly straightforward and does not involve any new resources. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the Associate of Science Degree with Individual 
Concentration (Stage II) academic degree program at UMASS Amherst as contained in 
Doc. T94-085. 

The timeline for this program is to present it to the Higher Education Coordinating Council after the 
October Board meeting. It is anticipated that final approval from the HECC should come by the end of 
autumn. 

The next action item was the Ph.D. in Nursing, Stage I, UMASS Boston. UMASS Lowell . Vice 
President Sessoms introduced this item by saying that this program has a public policy focus, 



distinguishing it from the UMASS Amherst-Worcester program which is a clinical program. The 
proposal is being presented as a Stage I. After Board approval, it will be sent informally to the Higher 
Education Coordinating Council, and an outside review team will be assembled. After the Board 
approves the Stage II proposal, the HECC will receive the full Stage II and it should be through the HECC 
process in the spring. Provost Esposito, Provost Tripathy, and Deans Cherry and Stecchi each spoke to 
the importance of this program, particularly as a public policy program and the impact that doctorally 
trained nurses will have on faculty and graduate and undergraduate training. Discussion continued 
regarding the impact of health care reform on nursing and the importance of this program serving 
Massachusetts students and citizens. Vice President Sessoms noted that the program is a good example 
of an effective, collaborative effort between the two campuses. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the joint Ph.D. in Nursing (Stage I) academic 
degree program at UMASS Boston and UMASS Lowell. (Doc. T94-086) 

The next item on the agenda was the Termination of Faculty, UMASS Lowell . Trustee DiCara noted 
that this item is the result of contractual language stipulating that the Board must vote on contract non- 
renewals for faculty. Provost Tripathy further noted that this is a typical notification item in the tenure 
process. 

It was moved, seconded and 

VOTED : To recommend that the Board authorize the Chair of the Board to send notice of 

termination effective May 31, 1995 to faculty members at UMASS Lowell as contained in 
Doc. T94-089. 

The next item on the agenda for discussion was the Core Curriculum at the University of 
Massachusetts . Vice President Sessoms began by saying that the core curriculum is a critical part of the 
education of students at the University and must be addressed in order to achieve the vision of the 
UMASS system as top in the country. The core curriculum is intended to provide breadth of education 
that will give students the skills they need to pursue their major subjects and life outside of the classroom. 
Each Provost was asked to present information on this subject. 

Provost Crosson reiterated the importance of general education and the fact that the debate regarding 
the core has been going on for many years at most institutions of higher education in the country. 
Provost Crosson noted that the Amherst campus's general education requirement seeks to provide a 
breadth of educational courses and also provide analytical, writing, and critical thinking skills. Deputy 
Provost Aitken then reviewed the specific requirements and explained the process by which a course is 
identified as a core course. Extensive discussion regarding the importance of writing and public speaking 
ensued, and it was further emphasized by Trustee Poduska that computer education and the use of 
computers in education should be strongly pursued. Provost Crosson explained that the core curriculum 
hasn't been fully implemented due to the extensive resources it can demand. The Provosts were asked to 
give consideration to how the Trustees can contribute to helping improve the effectiveness of core 
curriculum. Further discussion regarding reducing the number of credit hours in a degree program was 
held. 

Provost Esposito then described the core curriculum program at UMASS Boston, identifying the 
major goals and the components. The breadth component is seen in the distribution courses, and the 
depth component seeks to build on skills. Provost Esposito also noted that the general education courses 
that are being considered for the campus are highly resource-intensive. 

Provost Taggie noted that the UMASS Dartmouth campus does not have a campus-wide core 
curriculum, and that each college has its own distribution requirements. The Dartmouth campus has 



had numerous debates regarding general education and whether to adopt a curriculum university-wide. 
Much of the argument focuses on the resources issue. Regarding writing preparation, Provost Taggie 
noted the importance of incorporating assessment tools in the writing courses to have the greatest impact 
on students. 

Provost Tripathy then commented on the question of credit hours for graduation and the usage of 
computers, that not only do students need computers, but faculty members as well. Regarding the core 
curriculum, Paul Rahmeier, Vice Chancellor for Academic Affairs, identified the eight categories of 
thematic clusters that make up the core. A problem that the campus has had is regarding transfer 
students and what courses in the core curriculum they are required to take after transferring. 

Trustee DiCara thanked all of the Provosts for their presentations. He further suggested that this 
subject be revisited at this Committee again in six months. Trustee DiCara further suggested that the 
President's Office poll the student trustees of the past five years and ask them to comment on the 
education that they had received, and identify what may have been lacking. Vice President Sessoms 
commented that the core curriculum is an area where we must work as a system and Trustee DiCara also 

noted that it also has an important connection with articulation agreements and similarities can be built. 

c 

Next on the agenda was the informational item, Procedures for Review of Tenure Cases . Vice 
President Sessoms informed the Committee that in response to Trustee Bok's concerns regarding the 
percentage of faculty who receive tenure the President's Office will look more carefully at individual 
tenure cases. jj 

The next item on the agenda for information was Procedures for Review of Academic Program 
Proposals and Status of Academic Program Proposals . Vice President Sessoms noted that the HECC has 
been very responsive to suggested improvements in procedures for approval of academic programs, and 
he is working closely with the staff there. Discussion of the status of various program proposals was 
held, and Trustee DiCara asked that there be an update on the status of these programs in six months. 

The next informational item was an Update on the Engineering Task Force . Vice President Sessoms 
reported that the Task Force has met, and the Board will receive a report and recommendations in a 

December. 

The next item on the agenda was the Joint Task Force on UMASS and Community Colleg e 
Relations . Associate Vice President Lynn Griesemer reported that the Task Force, co-chaired by 
President Hooker and Holyoke Community College President David Bartley, will meet this week . The 
objective of the group is to study articulation and transfer agreements, program development and 
duplication, resource development and external relations. The timeline is to work for approximately nine 
months, producing a report with an agenda for the future in May or June, 1995, . 

There being no further business to come before the Committee, the meeting adjourned at 4:35 p.m. 

S^TidrUoJ^r r oft 

Elizabeth Tuthill Farrell 
Assistant Vice President for Board 
Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Wednesday, November 30, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Kraft and Poduska; Ms. Farrell, Assistant Vice 
President for Board Relations 

Committee Members Absent : Trustees Karam and Morrissey 

Other Trustees : Trustees Bok and Giblin 

University Administration : President Hooker; Chancellor Hogan; General Counsel Kirby; Vice President 
Sessoms; Provosts Crosson, Esposito, Bratt, and Taggie; Assistant Vice President Layton; Director of 
Student Affairs Nethersole; Associate Vice President Griesemer; Engineering Deans Crugnola and 
Goldstein 

Faculty Representatives : Professor Knight, UMASS Boston; Dr. Cooke, UMASS Worcester 

Guests : Professor William Bemis, UMASS Amherst 

Chair McNeil convened the meeting at 3:10 p.m. and introduced new Trustee and Committee 
member Myra Kraft, new Trustee William Giblin, and the Academic and Student Affairs staff members 
Ms. Layton and Ms. Nethersole. The first item on the agenda was the M.S. and Ph.D. in Organismic and 
Evolutionary Biology. UMASS Amherst . Vice President Sessoms reminded the Committee of the efforts -j 

of the administration to improve new program approval procedures. Provost Crosson indicated that the n 

campus was pleased to bring this program for Stage II approval, noting that this is a strongly 
interdepartmental program, requiring no new resources. Dr. Crosson then introduced Dr. William Bemis, 
Director of Organismic and Evolutionary Biology, who provided a description of the program, noted the 
strong external support from leaders in this field, and thanked the Committee and the Administration, 
particularly Dr. Layton, for the review and helpful criticism which enriched the proposal. President 
Hooker indicated that he had heard from those external commentators and was very confident of the 
quality of the program proposal. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the Stage II proposal for a M.S. and Ph.D. in 
Organismic and Evolutionary Biology academic degree program at UMASS Amherst as 
contained in Doc. T93-068, Addendum 1. 

The next item on the agenda was the Appointment with Tenure, UMASS Worcester . Provost Bratt 
noted the exceptional career and vita of this candidate, which was also recognized by they Committee. 

It was moved, seconded and 



ij 



VOTED : To recommend that the Board concur with the President in the appointment of Edward 
Bresnick as Vice Chancellor for Research with tenure in the Department of Pharmacology 
at UMASS Worcester. (Doc. T94-111) 

The next action item was the Award of Tenure, UMASS Amherst. . Provost Crosson indicated the 
strong support for this candidate on the campus and pointed out his stellar reputation. 

It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to Martin 
Weinberg, Professor of Physics and Astronomy, UMASS Amherst. (Doc. T94-112) 

The next item on the agenda was the Award of Tenure, UMASS Lowell . Chair McNeil noted her 
concern regarding this case, and turned to Chancellor Hogan. Chancellor Hogan presented the academic 
history of this candidate. The Chancellor noted that though the quantity of the candidate's scholarly 
work is lower than the typical tenure candidate, the depth, breadth and quality of his work is widely 
recognized and respected by leaders in his field. The Chancellor further explained the split votes for this 
award are likely due to the current political atmosphere on the campus, particularly in the School of 
Management. Chancellor Hogan further reported that the candidate is at a very high level compared 
with his colleagues in the department. 

Trustee Bok informed the Committee of his personal review of this case at the request of the 
Chancellor. He concluded that the strength of this candidate is based on the quality of his work and 
reputation in his field, and that the division in the institution is very real and has an impact on this tenure 
case. Trustee Bok indicated his strong support for this candidate. The Committee had substantive 
discussion on this case. President Hooker said he had turned back a tenure case recently, but he sees this 
as a strong, though unconventional tenure candidate. Further, the Administration has been assured that 
the candidate will be afforded substantial time for scholarly work, and will not be a candidate for the 
position of Dean of the School of Management. 

It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the award of tenure to Dr. 
William Mass, Policy and Planning Department, UMASS Lowell. (Doc. T94-112) 

Chair McNeil noted her affirmative vote for the candidate, and also her concern that all future tenure 
cases to reflect both quality and quantity of scholarly work. Trustee Poduska indicated the importance of 
the Committee making tenure recommendations without influence of campus-based political issues. 

The next item on the agenda for action was the Designation of Gilbert L. Woodside Professor of 
Biology, UMASS Amherst . Provost Crosson pointed to the distinguished career of the candidate for this 
professorship, not only in scholarship but in service. 

It was moved, seconded and 

VOTED : To recommend that the Board designate Dr. Christopher Woodcock as the Gilbert L. 
Woodside Professor of Biology as contained in Doc. T94-115. 

Next on the agenda was the Engineering Task Force. Vice President Sessoms provided an update to 
the Committee on the work and progress of the Engineering Task Force. Dr. Sessoms reported significant 
progress in the establishment of the engineering program at UMB, through collaboration with the 
Amherst and Lowell campuses, and noted that discussion on the identification and reallocation of excess 
capacity across the programs continues. The Task Force hopes to report to the Board in the summer, 
1995. President Hooker indicated that he sees this Task Force as a significant test for the Administration 



-2- 



and the Board to respond to necessary changes, and the need to sharpen the focus of programs so that 
they complement and are not duplicative. 

The Committee had substantive discussion on the issue and future of engineering programs, 
including enrollment projections and regional marketability of the programs, particularly at UMASS 
Lowell, and heard comments from the deans of engineering from UMASS Amherst and Lowell. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

There will be no net new state-funded faculty positions in engineering within 
the University. An exception may occur where the addition of such a 
position is clearly intended to increase faculty diversity and such position is 
approved by the Board. The foregoing shall remain in effect as an interim 
measure until the Board takes superseding action in light of 
recommendations by the Task Force. (Doc. T94-074. Addendum 1) 

The next item on the agenda for discussion was FY1993 Peer Study Update . Chair McNeil asked 
Assistant Vice President Layton to report on the Peer Study. Dr. Layton thanked Steve O'Riordan for his 
work on the study, and went on to present its highlights. Discussion was held on the particular points 
and concern about the ambiguity of some of the findings was expressed. Vice President Sessoms noted 
that the real value of the Peer Study is less the actual comparisons to peers than its potential to point to 
various successful practices among peers for UMASS to use as a guide for its own progress. 

The first informational item was the Update on the Status of Academic Program Proposals . Vice 
President Sessoms again reminded the Committee of the Administration's efforts to streamline this 
process, particularly with the Higher Education Coordinating Council. Discussion regarding the 
proposal for Electrical Engineering doctorate at UMASS Dartmouth was held, particularly in light of the 
engineering study. President Hooker noted that the campus needed a doctoral program to be brought 
into line with the rest of the University upon the 1991 Reorganization; Dr. Sessoms noted that the 
program will not be a "stand-alone" program and has the potential for collaboration with UMASS 
Amherst and UMASS Lowell. 

The next informational item was the Joint Task Force on UMASS and Community Colleg e 
Relations . Associate Vice President Griesemer provided an update on the Task Force which met on 
November 29. 

The next item on the agenda was the Faculty Hiring and Promotion Study . Vice President Sessoms 
thanked Trustee Bok for his leadership in this area. Dr. Sessoms informed the Committee that there is 
currently planned a study of these practices at UMASS Amherst and comparable institutions reporting in 
the spring, 1995 with an eye toward identifying the best practice. Trustee Bok suggested that the 
Administration consider the importance of the role that the department needs to play in hiring, and 
consideration of the entire pool of candidates since first choice candidates do not always accept. Further 
issues are minority hires and support systems for minorities and young applicants, timing of searches on 
campus, market trends in particular subject areas, and the use of temporary appointments. 

Under Other Business. President Hooker told the Committee that he plans to report to the full Board 
on the Report Card. He further reported that, on the issue of the UMASS Amherst men's basketball 
grades which were recently reported in the media, that he is working closely with the Chancellor, the 
Athletic Director and the Coach to ensure academic support and success for the players and all student- 
athletes. He further indicated that though there is progress to be made, the current system is very strong 
and the graduation rates of the basketball players and all UMASS athletes is very high. 



The meeting adjourned at 5:05 p.m. 



Elizabeth H. Tuthill Farrell 
Assistant Vice President for Board 
Relations 



-4- 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE COMMITTEE ON 
ADMINISTRATION AND FINANCE 

Tuesday, January 18, 1994; 3:00 p.m. 

Knapp Room 

18 Tremont Street 

Boston, Massachusetts 



Committee and Committee Staff: Chair Spence; Trustees Haynes, Lewenberg, O'Leary, Reed and 
Siegmann; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent: Trustees Bogan, Flores and Lizana 

University Administration: President Hooker; General Counsel Kirby; Vice Presidents Lenhardt and 
Sessoms; Ms. Uber, Budget Director; Mr. Wolcott, Director for Auditing and Mr. Smith, Assistant Vice 
President, Information Management; Chancellors Penney, Cressy, Hogan and Lazare; Vice Chancellors 
Page, MacCormack, Dars, Goodwin and Deputy Chancellor Stanton; Professor May, Faculty 
Representative, UMASS Amherst 

Chair Spence convened the meeting at 3:05 p.m. The first two items on the agenda were policy items 
recommended for approval. Vice President Lenhardt presented the proposal to re-establish the Trustee 
Reserve Fund, which existed under the former three-campus UMASS system. The proposal was to re- 
establish the fund for the five campus system with an expectation that a minimum of $500,000 would be 
put into the fund as part of the annual budget and that grants to campuses could be made up to $300,000 
by the President with the concurrence of the Chair of the Board of Trustees. There was discussion of the 
level of funds and the purposes. President Hooker noted the unexpected nature of some programs which 
cannot be funded in the normal budgetary cycle. It was moved, seconded and 

VOTED : To recommend that the Board establish the University-wide Trustee Reserve Fund and to 
approve the Policy on Trustee Reserve and purpose as contained in Doc. T94-018. Further, 
to rescind all other policies relating to this fund (or any part thereof) currently in effect in 
the University which are inconsistent herewith. 

Vice President Lenhardt also spoke to the proposal to re-establish the President's Program Fund. 
This is another program that existed under the three-campus UMASS system which would be extended 
to the five-campus system. The Committee was asked to establish a fund called the President's Program 
Fund as a specific fund. The policy specifies that annual additions of at least $150,000 will be made to the 
fund. This amount will be adjusted at least once every five years to counteract the impact of inflation. A 
maximum of $50,000 per project per year may be distributed by the President without prior Board of 
Trustee approval. Projects in excess of $50,000 in a given year must have the approval of the Chair of the 
Board of Trustees. President Hooker cited as an example of projects funded, the Pluralism and Diversity 
Conference. It was moved, seconded and 

VOTED : To recommend that the Board establish the University-wide President's Program Fund and 
to approve the Policy on the President's Program Fund and purpose as contained in Doc. 
T94-019. Further, to rescind all other policies relating to this fund (or any part thereof) 
currently in effect in the University which are inconsistent herewith. 



The next item which was for discussion was the FY 1995 State Operating Budg et. President Hooker 
and Vice President Lenhardt reported on recent meetings with the Administration about the Governor's 
House I budget recommendation and the various issues to be addressed. Vice President Lenhardt also 
mentioned a recent budget briefing held for staff members of the House and Senate. 

The next item was FY 1995 Tuition and Fee Update. The Committee was provided with a Summary 
of Mandatory Fees and Tuition from FY1989 to FY1994. Vice President Lenhardt also outlined the 
timetable and the difficult timing issues related to finalizing student fee budgets, which need to be acted 
on at the March/ April meeting cycle. 

President Hooker then spoke of his resolve to hold tuition increases at or below CPI until the 
University has ratcheted the University's student charges back into the middle of our reference group. 
The University's charges are at the very top. This is a difficult process, because costs go up annually, and 
the University has to raise revenue sources by an amount equivalent to increasing costs, otherwise the 
University is defacto cutting the budget. He went on to propose to the Board that tuition and fees be 
raised in an amount equivalent to inflation for the previous six months. He also discussed his proposal to 
reduce this increase if additional state support is received. If the increase in the University's state 
appropriation is greater than inflation, any excess appropriation beyond inflation could be used to ratchet 
back the tuition increase. 

He also noted the unique situation at Dartmouth and the plan approved last year to equalize tuition 
and fees up to the level of Boston campus charges. 

During the course of the discussion, there was a request for additional information, specifically the 
actual cost to students over the last five years as compared to peer institutions. This information is 
available through the peer study and will be highlighted for the March/ April cycle. 

There was then a discussion of Comparative Financial Indicators . In addition to the material mailed, 
the Committee was also presented with information concerning State and Student Revenues. Vice 
President Lenhardt then reviewed the chart of state appropriations and student charges (tuition and fees) 
as they relate to overall University revenue. This document demonstrates double digit reductions in the 
state appropriation as a percent of the total revenue for each of the campuses. He also indicated that 
comparative financial indicators will be an agenda item for future meetings, including federal grants and 
contracts as a percent of total revenue, instructional expenditures per student, endowment per student, 
and plant operation and maintenance as a percent of current fund expenditures. 

There was also discussion of increased demographics in 1996 and 1997, somewhere between 25% and 
30%, and the related long term strategic issues. 

In response to a question about additional information, the Committee suggested a yearly 
comparison of students' economic backgrounds and similar information about tuition and fees for out-of- 
state students and the changes in the in-state/out-of-state student mix. 

Vice President Lenhardt then updated the Committee on Capital Financing . The HEFA legislation 
has yet to pass the Legislature and the University is working to secure passage before the end of January. 
He also identified as possible alternate strategies the use of HEFA pools for emergency projects, provided 
that the Trustees transfer the property to HEFA temporarily while the renovations are taking place. The 
costs associated with this would be substantially higher than if the legislation is passed. Also distributed 
at the meeting was a listing and status of Capital Projects, including those with authorization for State 
General Obligation funding. 

Under Informational Items , Chancellor Cressy spoke about the search process for Vice Chancellor for 
Administration and Finance at UMASS Dartmouth and announced the appointment of Lewis Dars to this 
position. 

-2- 



» 



Deputy Vice Chancellor Stanton spoke to the Hospital Management Board Finance Committee 
minutes which included the unaudited financial statements and management letter which have been 
reviewed by the Audit Committee. 

The last item on the agenda was an Update on the South Africa Investment Policy . The President 
discussed his memo instructing the University to remove restrictions on investments in the nation of 
South Africa, effective May 1, 1994. Prior to that date, the situation in South Africa will be closely 
monitored and, presuming no reversal of the anticipated commitments of the government, this policy will 
be instituted. If the situation in South Africa has not improved, the President will rescind the policy. 

The meeting adjourned at 4:13 p.m. 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



D 



» 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, March 15, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Chair Taylor; Trustees Bogan, Flores, Haynes, Lizana, 
Reed and Siegmann; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent: Trustees Lewenberg and O'Leary 

University Administration : President Hooker (via telephone); Vice Presidents Lenhardt, Boyd and 
Sessoms; General Counsel Kirby; Chancellors Scott, Penney, and Hogan; Vice Chancellors Page, 
MacCormack, Dars and Goodwin; Deputy Chancellor Stanton; Professors May, Watanabe, Ahearn and 
Sheff; Dr. Cooke, Faculty Representatives 

Chair Spence called the meeting to order at 3:05 p.m. The first item the Committee discussed was 
1994-1995 Tuition and Fees . Chair Spence commented that there has been alot of discussion around this 
issue and she said that the Trustees are as concerned as the students about the rate of tuition increases 
over the many years and the fact that tuitions at UMASS are high. She pointed out that the Board has 
concluded that using tuition is not a way to subsidize expenses and has done everything to work with the 
campuses to reduce expenses without levying on the students. This year the proposal is a zero increase in 
tuition in accordance with HECC and a fee increase equivalent to their 2% of the aggregate tuition and 
mandatory fees in FY94. She also pointed out that even with this very limited increase there will be an 
effect on the campuses and each of the Chancellors will have budget gaps to deal with. 

She also said there is a real hope that this time next year we can have a joint effort with the students, 
Trustees and Chancellors to work with the legislature to help support UMASS. 

Vice President Lenhardt then gave an overview of the FY 1995 Maintenance Budget Requirements, 
starting with the 1994 base of $322,169,211 and adding additional needs of $21,830,000 to sustain the level 
of FY 1994 Operations for a FY 1995 Total Need of $343,999,211. This amount of funding is required for 
FY 1995 to support the basic activities of the University and allow for a roll-back of the proposed FY 1995 
student charge increases. He also identified trends in state support and student charges from 1990 
through 1995. 

Chancellors Scott, Penney and Hogan and Vice Chancellor Stanton then identified the problems they 
would still be facing, even with this recommendation, with Chancellor Penney expressing a concern 
about access. 

Trustee Siegmann then spoke to the Committee urging it to vote against the increase, then asked that 
the vote taken be a roll call vote. She also shared the results of a UMASS Boston survey about financial 
aid. Several students from UMASS Boston and UMASS Amherst spoke against the proposed increase. 

There was a lengthy discussion about the strategy and the proposed vote before the Committee. The 
proposed motion was favored by a number of Committee members because it allowed students and 
parents to plan for an increase. 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, the pattern of reductions in the state appropriation to the University of 
Massachusetts over the past six years has resulted in increases in student charges to continue the 
academic enterprise; 

WHEREAS, these increases in student charges have resulted in placing some University of 
Massachusetts campuses among the most expensive public institutions in the United States; 

WHEREAS, the Board believes it must balance the need to provide a diverse quality education 
with the need to provide access to higher education for Massachusetts citizens; 

NOW THEREFORE in accordance with Section 9 (i) of Chapter 15A of the General Laws the 
Board of Trustees hereby recommends to the Higher Education Coordinating Council that there 
shall be no increase in tuition on any University campus for Academic year 1994-95 and therefore 
tuition will remain as follows: 

Tuition: 









Annual 






From 


To 


Dollar 


% 


M ft1M/?f cf 


FY1994 


FY1995 


Change 


Change 


fXfiliVCTol 

Undergraduate (resident) 


$2,220.00 


$2,220.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$8,566.00 


$8,566.00 


$0.00 


0.0% 


Graduate (resident) 


$2,778.00 


$2,778.00 


$0.00 


0.0% 


Graduate (non-resident) 


$8,566.00 


$8,566.00 


$0.00 


0.0% 


Boston 










Undergraduate (resident) 


$2,220.00 


$2,220.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$8,568.00 


$8,568.00 


$0.00 


0.0% 


Graduate (resident) 


$2,778.00 


$2,778.00 


$0.00 


0.0% 


Graduate (non-resident) 


$8,568.00 


$8,568.00 


$0.00 


0.0% 


Dartmouth 










Undergraduate (resident) 


$1,836.00 


$1,836.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$6,919.00 


$6,919.00 


$0.00 


0.0% 


Graduate (resident) 


$2,206.00 


$2,206.00 


$0.00 


0.0% 


Graduate (non-resident) 


$6,919.00 


$6,919.00 


$0.00 


0.0% 


Lowell 










Undergraduate (resident) 


$1,884.00 


$1,884.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$7,028.00 


$7,028.00 


$0.00 


0.0% 


Graduate (resident) 


$2,260.00 


$2,260.00 


$0.00 


0.0% 


Graduate (non-resident) 


$7,028.00 


$7,028.00 


$0.00 


0.0% 


Worcester 










Medical School 


$8,792.00 


$8,792.00 


$0.00 


0.0% 


Graduate (resident) 


$2,738.00 


$2,738.00 


$0.00 


0.0% 


Graduate (non-resident) 


$8,566.00 


$8,566.00 


$0.00 


0.0% 



Provided further that in accordance with Section 1A of Chapter 75 of the General Laws, to 
establish the following fees for Academic Year 1994-95: 



Curriculum Fees: 









Annual 






From 


To 


Dollar 


% 




FY1994 


FY1995 


Change 


Change 


Amherst 










Undergraduate (resident) 


$2,055.00 


$2,138.00 


$83.00 


4.0% 


Undergraduate (non-resident) 


$2,055.00 


$2,138.00 


$83.00 


4.0% 


Graduate (resident) 


$1,734.00 


$1,804.00 


$70.00 


4.0% 


Graduate (non-resident) 


$1,734.00 


$1,804.00 


$70.00 


4.0% 


Boston 










Undergraduate 


$1,730.00 


$1,814.00 


$84.00 


4.9% 


Graduate 


$1,730.00 


$1,814.00 


$84.00 


4.9% 


Lowell 










Undergraduate (resident) 


$2,646.00 


$2,736.00 


$90.00 


3.4% 


Undergraduate (non-resident) 


$2,646.00 


$2,840.00 


$194.00 


7.3% 


Graduate (resident) 


$2,646.00 


$2,745.00 


$99.00 


3.7% 


Graduate (non-resident) 


$2,646.00 


$2340.00 


$194.00 


7.3% 


Worcester 










Medical School 


$1,000.00 


$1,000.00 


$0.00 


0.0% 


Graduate 


$312.00 


$312.00 


$0.00 


0.0% 


Mandatory Fees: 






Annual 






From 


To 


Dollar 


% 




FY1994 


FY1995 


Change 


Change 


Amherst 










Undergraduate 


$1,192.00 


$1,216.00 


$24.00 


2.0% 


Graduate 


$998.00 


$1,018.00 


$20.00 


2.0% 


Boston 










Undergraduate 


$298.00 


$298.00 


$0.00 


0.0% 


Graduate 


$298.00 


$298.00 


$0.00 


0.0% 


Lowell 










Undergraduate 


$72.00 


$74.00 


$2.00 


2.8% 


Graduate 


$72.00 


$74.00 


$2.00 


2.8% 


Worcester 










Medical School, First and Second Year 










$430.00 


$470.00 


$40.00 


9.3% 


Medical School Third and Fourth Year 










$405.00 


$435.00 


$30.00 


7.4% 


Graduate (non-resident) 












$405.00 


$435.00 


$30.00 


7.4% 



-3- 



Residence Hall and Board Fees: 









Annual 






From 


To 


Dollar 


% 




FY1994 


FY1995 


Change 


Change 


Amherst 










Average Room 


$2,185.00 


$2,266.00 


$81.00 


3.7% 


Average Board 


$1712.00 


$1,762.00 


$50.00 


2.9% 


Telecommunications 


$0.00 


$0.00 


$0.00 


0.0% 


Boston 




N/A 
N/A 






Lowell 










Average Room 


$2390.00 


$2390.00 


$0.00 


0.0% 


Average Board 


$1,78050 


$1,836.75 


$56.25 


3.2% 


Residential Telecommunications 


$80.00 


$100.00 


$20.00 


25.0% 


Worcester 




N/A 
N/A 







Provided, however, that the President is authorized and directed to rescind all fee increases listed 
above if the legislative appropriation provided to the University in the Fiscal Year 1995 budget 
exceeds $343,999,211. 

AND FURTHER, 

WHEREAS, the Dartmouth campus joined the University of Massachusetts system in 1991 with 
tuition and fees substantially lower than these charged by the other campuses of the University 
and by other universities generally; 

WHEREAS, the Dartmouth campus requires additional funding from student charges to assist in 
continuing to bring its programs to the level of a major University campus; 

WHEREAS, the President and Chancellor of the Dartmouth campus have recommended a multi- 
year plan to meet these goals; 

NOW THEREFORE, in accordance with Section 1 A of Chapter 75 of the General Laws the Board 
establishes the following fees for the Dartmouth campus for Academic Year 1994-95: 

Curriculum Fees: 









Annual 






From 


To 


Dollar 


% 




FY1994 


FY1995 


Change 


Change 


Undergraduate (resident) 


$1,469.00 


$1,711.00 


$242.00 


16.5% 


Undergraduate (non-resident) 


$1,843.00 


$2,405.00 


$562.00 


30.5% 


Graduate (resident) 


$1,529.00 


$1,820.00 


$291.00 


19.0% 


Graduate (non-resident) 


$1,843.00 


$2,405.00 


$562.00 


30.5% 



-4- 



Mandatory Fees: 

Undergraduate $263.00 $288.00 $25.00 9.5% 

Graduate $263.00 $288.00 $25.00 9.5% 



Residence Hall and Board Fees: 

Average Room $2,588.00 $2,588.00 $0.00 0.0% 

Average Board $2,002.00 $2,026.00 $24.00 1.2% 

Trustees Bogan, Haynes, Reed, Taylor and Chair Spence voted for the motion. Trustees Siegmann 
and Flores are recorded as opposed. Trustee Lizana also noted his opposition to the motion. 

Trustee Reed then gave the report of the Subcommittee on Personnel which met twice to consider the 
Personnel Policy for N on-Unit Professional Staff. It was moved, seconded and 

VOTED : To recommend that the Board approve the Personnel Policy for Non-Unit Professional 
Staff as contained in Doc. T94-023. Further, to rescind Doc. T73-090A, and all other 
policies (or any part thereof) currently in effect in the University which are inconsistent 
herewith. 

The next item on the agenda was the Policy on the Development and Administration of Grants and 
Cooperative Agreements for Sponsored Programs . This policy replaces a previous UMASS policy for 
the former three campus UMASS system and was developed with University-wide participation. It was 
moved, seconded and 

VOTED : To recommend that the Board approve the Policy on the Development and 
Administration of Grants and Cooperative Agreements for Sponsored Programs as 
contained in Doc. T94-034. Further, to rescind Doc. T81-051B, and all other policies (or 
any part thereof) currently in effect in the University which are inconsistent herewith. 

Vice President Lenhardt then reviewed the Comparative Financial Indicators : State and Student 
Revenues as a percent of total revenues; Grants and Contracts as a percent of Total Revenues; and 
Endowment Income as a percent of total revenues. Trustee Haynes suggested endowment income is an 
area that needs a great deal of work and is one area the University can improve. 

The next item was Interim Financial Report . Chair Spence commended the University Controller 
Janet Wanczyk. It was also suggested that this report be sent to the other members of the Board for their 
information and consideration. 

Deputy Vice Chancellor Stanton briefly reviewed the Minutes of the Hospital Management Board 
Finance Committee noting the policy for reviewing contracts exceeding $100,000 adopted by the Board. 

Trustee Haynes then gave the report of the Investment Subcommittee which met February 1 and a 
proposed quasi-endowment policy. It was determined that by budgeting annual contributions from its 
operating funds, the University can increase its endowment. This proposed policy is currently being 
reviewed by campus representatives and will be brought back to the Committee. 

Chair Spence then called for a motion to go into Executive Session to discuss Collective Bargaining 
and noted that the Committee would reconvene in open session. The time was 4:30 p.m. and on roll call it 
was moved, seconded and 



-5- 



VOTED : To enter Executive Session. 

At 4:45 p.m. the Committee came out of Executive Session and it was moved, seconded and 

VOTED : To recommend that the Board approve the agreement between the University of 

Massachusetts Amherst and the Graduate Employees Organization (GEO) as described in 
Doc. T94-035. 

There being no further business to come before the Committee, the meeting adjourned at 4:46. 




f. 
Cynthia A. Fontaine 

Secretary to the Board of Trustees 



-6- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 

SPECIAL JOINT COMMITTEE ON ADMINISTRATION AND FINANCE 

AND MEDICAL CENTER TASK FORCE 

Friday, May 20, 1994; 3:00 p.m. 

Wood Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Chair Taylor; Trustees Haynes, Lewenberg and Reed; 
Vice President and Secretary to the Board Boyd; Assistant Vice President Tuthill 

Committee Members Absent: Trustees Bogan, Flores, Lizana, O'Leary and Siegmann 

Medical Center Task Force : Trustee Foley 

Medical Center Task Force Absent : Trustees Dickson and Karam 

University Administration : President Hooker; Vice Presidents Lenhardt and Sessoms; Chancellor 
Lazare; Deputy Chancellor Stanton; Dr. Cooke, Faculty Representative, UMMC 

Guests : Dr. Frieswick and Mr. Hollings, Medical Center Hospital 

Chair Spence called the meeting to order at 3:05 p.m. and began by setting the context for calling the 
special joint meeting being that there is not enough time at regular Administration and Finance 
Committee meetings to focus on the special issues surrounding the Medical School and Center. 

The first item discussed was the potential Merg er of the Medical Center with MCCM which, at this 
time looks unlikely. There was general agreement that the strategy the Trustees must follow should come 
out of the strengths of the Medical Center and the need to continue to improve and increase service 
within the current financial situation. Some of the elements which may make up a strategy for the 
Medical Center in the event that there is no merger were identified and discussed. 

The discussion then turned to Current Financial Issues, with the questions posed as to what the cash 
position is, where is it going and where will reductions in cash flow be seen. Mr. Hollings discussed 
some of the specific aspects of the materials which were prepared for the meeting and identified the 
impact of paying full fringe benefit costs as a significant change in the hospital's position beginning in 
1991. A recent major impact on the Medical Center has been the change in definition of in-patient care by 
the major insurer's Medicare, Medicaid and Blue Cross. In response, the Medical Center is establishing a 
patient observation area. Mr. Hollings identified a sustained cash level at the Hospital of approximately 
$37 million. 

Dr. Frieswick then distributed information on Cost Reductions for the Committee's review and 
discussion. Significant issues include: costs per unit, per capitation and bench-marking to find 
appropriate cost reductions. They are currently consolidating patient care units and will be eliminating a 
total of 122 positions as of June 17, 1994, with a total of 60 actual lay-offs with the remaining employees 
being re-employed in other areas. The hope is that with natural attrition, more positions will be available 
for those 60 employees to move into. 



Further discussion of the reductions led to the issue of the New Programs which have been identified 
for FY95. It was decided that there needs to be further discussion on this issue with specific justification 
made before there is commitment to these new expenses. In response to the question of his greatest 
anticipated problem, Mr. Hollings identified in-patient volume. The next meeting's agenda, therefore 
would contain the two issues of patient utilization increase and new programs. Trustee Haynes further 
asked the Medical Center staff to provide information about the impact of changes in in-patient volume 
on out-patient care; the shift of managed-care and the impact on the Medical Center; and more 
information on fringe-benefit costs at peer institutions. 

There being no further business to come before the Committee, the meeting adjourned at 5:00 p.m. 

C2. 




Elizabeth H. Tu thill 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, May 24, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Lewenberg and Lizana; Ms. Tuthill, Assistant 
Vice President for Board Relations 

Committee Members Absent: Trustees Bogan, Flores, Haynes, O'Leary, Reed and Siegmann 

University Administration : President Hooker Vice Presidents Lenhardt and Sessoms; General Counsel 
Kirby; Chancellors Hogan, Lazare, Penney, and Hogan; Vice Chancellors Page, MacCormack, Dars and 
Goodwin; Deputy Chancellor Stanton; Ms. Uber, University Budget Director; Professor May, Faculty 
Representative 

Guests : Mr. Yon and Mr. Eggert, Shooshanian Engineering Associates 

Chair Spence called the meeting to order at 3:10 p.m. The first item on the agenda was the policy item 
recommended for approval. Vice President Lenhardt presented the proposal to establish a Ouasi- 
Endowment Fund . Vice President Lenhardt recognized the commitment of Trustee Haynes and the 
Investment Subcommittee in bringing this policy forward. The Subcommittee proposes a three part 
strategy. The first is the creation of a Quasi-Endowment through the segregation of up to 25% of the 
operating cash of the University each June 30 and the related transfer of funds from current funds 
unrestricted to endowment. The net effect will be a larger endowment on the University's balance sheet. 
The second is an enhancement to the cash management policy. This change will allow up to 25% of the 
operating cash portfolio be invested in the longer term equity strategy. Over a period of time the total 
return on the equity segment should be nearly double what can be earned in short term fixed income 
instruments. It is anticipated that the income return to the campuses will be enhanced. The final change 
dedicates one percent (1%) of the book value of the quasi endowment to the President for development 
purposes. It was moved, seconded and 

VOTED : To recommend that the Board amend the Cash Management Policy (Doc. T92-031, 
Appendix F) by inserting at the end of Part I the following: 

Quasi-Endowment : That the Treasurer's Office may segregate up to 25% of the book 
value of operating cash of the University's portfolio for the purposes of creating a Quasi- 
Endowment. The Quasi-Endowment shall be invested as part of the cash management 
strategy of the University. Earnings from the Quasi-Endowment will be commingled 
with other income generated by the University Treasurer's Office through the Cash 
Management process. 

Equities : The Treasurer's Office is permitted to invest up to 25% of the book value of the 
Operating cash portfolio measured on each June 30 in the equity markets. This segment 
of the portfolio will be subject to the volatility inherent in the equity market. Earnings 
distribution from the equity component of the portfolio will be calculated such that 
earnings are no less than the yield on the fixed income component and no more than the 
combined weighted average yield of the portfolio in a given year. 



And further, 

To amend the Policy for Management of University Funds (Do. T92-031) by inserting after 
the first sentence in Section 12 the following: 

"Annually on June 30, one percent (1%) of the book value of the quasi-endowment will be 
set aside from the Trust Fund Interest earnings for use by the President of the University 
for development efforts. All remaining investment..." 

Chair Spence then introduced the action items with Authorization for Expenditures of Funds . Vice 
President Lenhardt reminded the Committee that this vote is taken annually before the final approval of 
the Operating Budget (October) and is essentially held up by the State appropriation process. This 
authorizes the President to spend at the current rate of expenditures until the Operating Budget is 
approved. It was moved, seconded and 

VOTED : To recommend that the Board authorize the President to expend at the FY1994 rate, state 
and non-state funds for the University from July 1, 1994 until such time as the Board 
adopts the Operating Budget for FY1995. 

The next action item was the Revisions to Motor Vehicles and Parking Regulations, UMASS 
Amherst . Vice President Lenhardt spoke to the issue saying that it is a legal obligation of the Trustees to 
approve these regulations. It is a fairly routine matter which the campus spent a good deal of time 
working through. Vice Chancellor Page noted that the changes reflect the need for improvements in 
parking for visitors and easier access. It was moved, seconded and 

VOTED : To recommend that the Board approve the revisions to the Motor Vehicle and Parking 
Regulations at the Amherst campus as contained in Doc. T82-023C. 

The next item on the action agenda was the Revision to FY1995 Continuing Education Charg es, 
UMASS Dartmouth . Vice President Lenhardt noted that this item would normally have come in the 
previous cycle but due to the revisions being made, the campus needed more time. Vice Chancellor Dars 
spoke to the changes and said that part of the funding would be devoted to developing new programs in 
areas away from the campus. It was moved, seconded and 

VOTED : To recommend that the Board approved the revised FY1995 Budget and rate schedule for 
the Division of Continuing Education at the Dartmouth campus as contained in Doc. T94- 
033, Addendum I. 

Chair Spence then moved the remaining action item, FY1995 Revenue Based Budg ets. She asked 
Vice President Lenhardt to speak to the issue and requested that the minutes reflect the reporting on this 
issue in detail so as to provide adequate information to the absent Committee members. Ms. Uber, 
University Budget Director, presented background information to the Committee on the Revenue Based 
Budgets. 

Ms. Uber began by reminding the Committee that Revenue-Based Budgets are a regular item 
presented to this Committee and the full Board every year during the May/June cycle. Budgets 
presented are the second phase of the FY1995 budget process. The first phase was student fee budgets. 
Other major steps include the allocation of the state appropriation, and the development of the 
comprehensive University operating budget. This document, presented each fall, encompasses all 
sources of current revenues: state appropriations, student fees, designated revenue-based trust funds, and 
restricted funds. 



-2- 



Revenue-based operations are so-called designated funds. These operations generate revenues from 
the sale of a product or service and the revenues must be used for the purpose for which the fund was 
established. In addition to designated student fees approved last cycle, designated funds include 
auxiliary operations such as parking garages, bookstores, and student unions. Other types of revenue- 
generating operations include radio stations, the college press, and activities peripheral to the educational 
mission, such as testing and counseling services. Restricted revenues, such as grants and contracts, are 
not included. Designated funds represent a significant portion of the University's $1 billion budget. Total 
operations, excluding the Group Practice and Hospital make up 14% of the overall budget; with the 
Group Practice and Hospital the number is 44%. 

The FY1995 revenue-based operations in your packet included $103 million in budgeted 
expenditures, excluding the Hospital and Group Practice, and $481 million with the Hospital and Group. 
FY1995 revenues are budgeted at $103 million without the Hospital and Group Practice, and $482 million 
with the Hospital and Group. Overall revenues are projected to increase by 6.0%; expenditures to 
increase by 7.1%. 

Ms. Uber further reported that no funds are in a deficit situation, although a number of the funds are 
making use of fund balances to balance their FY1995 budgets. This reserve or cushion is seen as a sound 
management practice. University policy does limit un-designated fund balances to 25% of previous 
year's expenditures. Some funds making use of cash reserves in FY1995 budget for a number of reasons, 
including: planned one-time expenditures of reserves built up over time, e.g., equipment purchases; 
cushion to allow necessary adjustments in revenues or expenditures to be made over a period of time; 
cushion against having to raise charges in a given year. Also, operating deficits may appear larger in the 
budgets than they end up being, due to conservative budgeting. 

The presentation of revenue budgets at this Committee is the end point in an intensive budget 
development process at each campus. In addition to campus budget parameters, general guidelines for 
development of revenue budgets are developed and distributed by the President's Office. 

An updated Table 1 for the Worcester campus was distributed, which includes FY1995 information 
for the Group Practice and Hospital. The Hospital budget receives extensive review at the Worcester 
campus by the Finance Committee and full Hospital Management Board, and will be acted upon by the 
Finance Committee at the end of the month. Ms. Uber reminded the Committee that there are special 
meetings of the Administration and Finance Committee and Medical Center Task Force and it has been 
recommended that the Hospital and Group Practice budgets not be acted upon at this time. Another 
special Committee meeting is currently being scheduled to address outstanding issues. 

More detailed information is available in the President's Office if desired. 

Chair Spence then reported to the Committee on the need to conduct special meetings devoted to the 
Medical Center, the first one being held on May 20. The rapid change in the environment at the Hospital 
and the potential for financial decisions lead to the need for the Trustees to focus and have a better 
understanding of the issues. Chair Spence recommended that the Committee wait to recommend the 
Hospital's revenue based budget until there is better understanding on the Trustees' part. 

Vice President Lenhardt spoke again to the issue of the campus Trust Fund operations in order to 
clarify the use of Trust Fund revenues. There is a process by which Trust Funds buy services from other 
Trust Funds but there is no transfer of funds among them. The only exception being the Dean's fund as 
part of the Group Practice, regardless of surplus in some trust funds. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the budgets and fee structures for the FY1995 
Revenue-Based Trust Fund Budgets at Amherst, Boston, Dartmouth, Lowell and 



Worcester, as described in Doc. T94-045, provided that the Medical Center Group 
Practice Plan and the Medical Center Hospital budgets shall be considered at a later date. 

And further, 

To approve associated changes in the Statements of Trust for the Amherst campus as 
appear in said document. 

The next item which was for discussion was the FY1995 State Budget Update . President Hooker 
reported to the Committee that the University fared well out of the House Ways and Means budget with 
$10.7 million. The Administration and some Trustees have been involved with the meetings held with 
Senate Ways and Means members as well as UMASS friends in the Senate. All of the meetings have gone 
very well and the outlook is very good. The State House Day and other joint efforts have been very 
positively received, particularly due to the efforts of the students as reflected by the remarks by Senate 
President Bulger on State House Day. President Hooker thanked the students for their dedication to the 
budget effort and the cooperation with the President's Office. Chair Spence reiterated the importance of 
the cooperative effort that should continue next year and Trustee Lewenberg noted the tremendous 
difference that has been felt in this year's budget effort and the extensive effort in all areas and projects for 
UMASS that has resulted in a very positive reception across the State. 

The next discussion item was the Capital Financing Update . Vice President Lenhardt pointed out 
the letter in the materials from the DCPO Commissioner regarding the capital program which is very 
positive. The Capital Program has still not been moved by Ways and Means, but there is a refocussing on 
the program by that Committee which will hopefully be out by the end of June. 

Vice President Lenhardt then introduced the representatives from Shooshanian Engineering, Mr. 
Eggert and Mr. Yon. Mr. Eggert reported that they had worked with each of the five campuses and found 
them to have a good understanding of their needs; the evaluations and prioritization done by each is very 
thorough, and given funds available, they will apply them to the most urgent needs. The most severe 
situation they studied was the parking deck at UMASS Boston, for which the campus has received 
emergency monies from DCPO to cover the problem, but not nearly enough to make all the repairs. It is 
evident that the lack of funds has resulted in some of these conditions, and hopefully the program will 
come into place and future problems can be attended to. The most critical items are in the report and are 
at the top of the list for repair. President Hooker reported that the staff of House Ways and Means have a 
copy of the report which is helping inform them of the need for the Capital Program. 

The next item under the Capital Financing update was the Lowell Arena. Vice President Lenhardt 
told the Committee that this is a new project, this is not a request for a vote for final authorization for the 
Arena, and it has come before the Athletic Committee several times. The reason it is before this 
Committee is to make the members aware the potential future action. Chancellor Hogan then reported to 
the Committee that the Governor had committed 1/3 of the costs of the project (not to exceed $15 million) 
while the city and the University would be responsible for 1/3 of the costs each. There has been concern 
about whether the city is able to come up with the funding. The local businesses have given their support 
to the joint project with the city, and the Lowell Sun has given favorable editorials to the project The city 
will be meeting again to continue the debate on whether they can afford their part of the costs. President 
Hooker pointed out that though this is the first time this has come to the Committee, Trustee Lewenberg's 
Committee on Athletics has thoroughly discussed this item and the Administration has been aware of 
these issues for some time. 

Vice President Lenhardt then spoke to the issue of the HEFA Pool Funding where Worcester, 
Amherst and Dartmouth may wish to get authorization to borrow temporary variable rate money from 
the pool to reimburse capital expenditure or for projects which are linked to the borrowing of private 
money. This may come to the Committee and Board at the next cycle (July/August). 



-4- 



Trustee Lewenberg noted that the Lowell campus has done an excellent job of carefully balancing the 
interests of the state, the city and the campus/university community in looking at the potential for the 
new arena, particularly the intricacies of the financial needs. 

Chair Spence then turned to Vice President and General Counsel Kirby to report on the Personnel 
and Diversity Subcommittee in the absence of Trustee Reed. There were three items discussed at the 
May 4th meeting. The first was Affirmative Action plans which, the Subcommittee agreed should be 
made available to the Board every three years with annual updates provided. Each campus would have 
their plan reviewed at upcoming Committee meetings. The Affirmative Action plans will be brought to 
the Board through the Executive Committee. The second item was the Workforce Redesign Policy which 
was brought forward from the Medical Center. Deputy Chancellor Stanton had reported at the meeting 
that any reductions in force would be handled under existing policy and the issue was tabled until further 
notice. The last item on that agenda was the report by Chancellor Hogan on the Diversity Task Force 
which will have another draft report in June. The final report will be available in October. The next 
meeting of the Subcommittee is June 7 where they will discuss outside funding for diversity initiatives. 
Ms. Kirby further reported that Trustee Reed and the Committee did not find egregious problems with 
the Affirmative Action plans, but that they would like to have the time devoted in future meetings to look 
more closely at the details of these large reports. 

The next item for discussion was the Interim Financial Report . Chair Spence turned to Vice 
President Lenhardt to comment on the report. Vice President Lenhardt reminded the Committee that 
these reports were only recently developed and have been very helpful in clarifying the University's 
position, particularly going into the annual audits. Vice President Lenhardt recognized the efforts of Ms. 
Wanczyk, the University Controller, and the entire fiscal control staff. 

The next discussion item was the Hospital Management Board Finance Committee Minutes . 
Deputy Chancellor Stanton noted that there was no information necessary for discussion after the special 
meeting held on May 20. 

Chair Spence then called for a motion to go into Executive Session to discuss Collective Bargaining 
and noted that the Committee would not reconvene in open session. The time was 3:55 p.m. and on roll 
call it was moved, seconded and 

VOTED : To enter Executive Session. 

Chair Spence voted for the motion, as did Trustee Lewenberg. 

The meeting adjourned at 4:10 p.m. 



^pM)MxXkX 



Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



-5- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 

COMMITTEE ON ADMINISTRATION AND FINANCE AND 

MEDICAL CENTER TASK FORCE 

Tuesday, June 7 1994; 8:00 a.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee/Task Force and Committee Staff : Trustees Haynes and Karam; Ms. Tu thill, Assistant Vice 
President for Board Relations 

Committee/Task Force Members Absent: Trustees Bogan, Dickson, Foley, Flores, O'Leary, Reed and 
Siegmann, Spence 

University Administration : President Hooker; Vice Presidents Lenhardt and Sessoms; General Counsel 
Kirby; Chancellor Lazare; Deputy Chancellor Stanton 

Guests : Mr. McClelland, Hospital Management Board; Dr. Frieswick and Mr. Hollings, University 
Hospital 

In the absence of Trustee Haynes who was chairing the meeting in the absence of Trustee Spence, 
President Hooker called the meeting to order at 8:10 a.m. President Hooker identified three specific areas 
of concern for Trustees for which reason this meeting was called: unanswered and additional questions 
regarding the Hospital's current cash position; the Hospital's cost-cutting strategy; the approval of the 
Hospital and Group Practice Budgets for FY95. 

Mr. Hollings from the Hospital then distributed quarterly financial statements and presented further 
information regarding admissions numbers (accounting for 75-80% of the income), observation beds, total 
revenue, the average daily census, the issue of surplus and the cash position. 

Chair Haynes joined the meeting at 8:20 a.m. Mr. Hollings continued his presentation and projected 
that the Hospital should finish the year somewhere in the area of $1 million surplus. The largest costs 
were for observation beds and fringe benefits. The cash position is also affected by the delay in the 
University's capital program. 

Mr. McClelland from the Hospital Management Board then addressed the question of the urgency of 
action with regard to the Hospital's financing this spring. Mr. McClelland reiterated the extreme revenue 
losses resulting from the observation beds, new payer classifications, the decline in admissions, 
particularly surgeries which created a situation where the hospital was faced with an extreme reduction 
in margin for both February and March. Since that time, they have formulated a cost reduction plan, and 
are working on a revised budget. 

The next item to be discussed was the issue of new programs. The total budget for new programs is a 
net $5 million, most of which is already in current programs. They are looking carefully at the success of 
young programs as those monies are used as an investment pot for new programs. The plan is to 
continue to identify where to reduce costs while preserving the educational research core. 

Chair Haynes then requested that the Task Force look at the Cost Reduction Strategy. Dr. Frieswick 
reported that the Hospital had collected data for bench-marking based on national comparisons 



(including Boston teaching hospitals) with academic hospitals and she reported on the various areas that 
are undergoing changes and consolidations. 

After further discussion, it was then decided that the revised Hospital budget would come back to the 
Board for approval when it is fully prepared, in August or October. These budgets should be complete 
with Executive Summaries that concisely present the issues of concern as discussed. 

The meeting adjourned at 10:00 a.m. 




Elizabeth H. Tu thill 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, July 26 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Andriolo, Flores, Haynes, Lizana, O'Leary, 
Reed, Taylor; Vice President and Secretary Boyd; Ms. Tuthill, Assistant Vice President for Board Relations 

Committee Members Absent: Trustees Bogan and Purdy 

Other Trustees : Trustees Finnerty and Hoff 

University Administration : Vice President Lenhardt; General Counsel Kirby; Chancellors Hogan, Cressy 
and Lazare; Vice Chancellors Page, MacCormack, Dars and Goodwin; Deputy Chancellors Stanton and 
Williams; Ms. Uber, University Budget Director; Associate Provost Harmon-Hines 

Faculty Representatives : Professor May, UMASS Amherst, Dr. Cooke, UMASS Worcester 

Chair Spence called the meeting to order at 3:05 p.m. The first item on the agenda was the Workforce 
Redesign Policy, UMASS Worcester . Trustee Reed reported that the Personnel and Diversity 
Subcommittee met earlier in the day and is recommending this policy to the Committee and to the full 
Board. ThffSubcommittee meeting had several items on the agenda, including the review of Affirmative 
Action plans at UMASS Amherst as well as the review of Diversity Initiatives. Trustee Reed reminded 
the Committee that this policy for the Worcester campus had previously come before the Board, and has 
been brought back due to the many changes that the institution is undergoing. Chancellor Lazare 
reiterated the importance and timelines of the policy. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the Workforce Redesign Policy at UMASS 
Worcester as contained in Doc. T93-079, Appendix 1, as amended. 

Chair Spence thanked Chancellor Lazare and Deputy Chancellor Stanton for all of their efforts in 
finalizing this policy. 

The next item on the agenda was the FY1995 Student Fees . Chair Spence reminded the Committee 
that the Board vote in April on the student fees contained a provision wherein the Board could vote to roll 
the fees back to recommended levels in the event that the University received a strong budget from the 
State. Chair Spence further recognized the efforts of the Trustees, the administration, students, faculty 
and parents who were instrumental in securing the support of the legislature in this year's budget. 



It was moved, seconded and 

VOTED : To recommend that the Board approve the revised Curriculum Support Fee rates for 
FY1995 at the University of Massachusetts Amherst, Boston, and Lowell: 

Current FY95 Fee Revised FY95 Fee 

Amherst $2,138 $2,031 

Boston $1,814 $1,780 

Lowell $2,736 $2,646 

(Doc. T94-033, Addendum 1) 

The next item on the agenda was the FY1995 State Appropriation Allocations . Vice President 
Lenhardt reminded the Committee that each year this exercise is undertaken after the budget is signed. 
This year the budget was signed approximately two weeks ago by the Governor with full support for the 
University. The only constraint this year is the cap on the amount to be allocated to the Medical Center. 
The Five Campus Budget and Planning Task Force went through the initial process of determining the 
allocations. The Chancellors and the President met and confirmed the allocations. There is a strong 
consensus on these recommendations to the Committee. The main objectives were: to cover the base of 
state funds available from FY94; to ensure that each campus could meet the earmarkings in the state 
appropriation; to meet the basic needs of the maintenance budget (approximately 70% of the need); and 
respond to the more rapid increase in student charges at the Dartmouth campus. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the following FY95 state appropriation 
-* allocations: 

Amherst $163,973,085 

Boston 60,446,943 

Dartmouth 33,517,605 

Lowell 52,434,468 

Worcester 24,021,795 

Institute for Governmental Services 517,189 

TOTAL $334,911,085 

Further, to authorize the President to make adjustments to the campus allocations for 
support of the President's Office and Central Administrative Services to be reflected in 
the final allocation schedule submitted to the state. (Doc. T94-078) 

Chairman Taylor commented that when he and President Hooker met with Governor Weld before he 
signed the budget, the Governor was extremely pleased to support this budget for the University. 

The next item on the agenda under the topic of the University Capital Financing was the Learning 
Center, UMASS Worcester . Chancellor Lazare gave some background on the need for the Learning 
Center and the identification of space in the existing unused courtyards that could be utilized. The total 
cost is $2.3 million, and they have raised $1.8 million, including $250,000 from Mr. Jacob Hiatt. The 
additional cost for the computers will also need to be raised. Associate Provost Harmon-Hines offered a 
detailed description of the design of the Learning Center and described the improvement that this new 
space will offer not only to the medical students, but all of those involved in graduate programs, outreach 
programs and continuing education. 

-2- 



Discussion regarding the importance of the Trustees understanding of the future and ongoing/long- 
term costs of new buildings, such as the Learning Center, is a vital part of the approval process. This is 
particularly important for an institution like the Hospital which is subject to changing regulations. Vice 
President Lenhardt reminded the Committee that the Board had passed a policy with guidelines for new 
construction which addresses this concern. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the construction of the Learning Center at the 
University of Massachusetts Medical Center. (Doc. T94-079) 

The next item on the agenda was an informational update on the Capital Financing program. Vice 
President Lenhardt updated the Committee on the $200 million capital program saying that the 
legislature had not moved the HEFA bill and there are indications that they do not fully support the 
capital program. Vice President Lenhardt went on to tell the Committee that there are two immediate 
issues: the Hospital had been authorized with the Board's support to use $17 million of operating cash for 
certain capital projects and it is necessary, to stay within tax laws, to give the Hospital the authority to 
borrow capital funds with the pledge of revenue in the Hospital Trust Fund. This could be done when 
the Hospital budget is approved in October. Also, there is approximately $15 million of critical repairs 
across the University and it may be necessary to borrow from the University and possibly from the 
Building Authority as an interim financing measure. Mr. Lenhardt suggested that the Chancellors write 
to the President specifying those projects, with the specific amounts needed, which would then be shared 
with the Trustees and provide the basis for taking action at a future meeting. Discussion regarding 
campus infrastructure needs continued and it was suggested that Trustee Flores would work on a 
strategy for bringing this issue to the forefront of the University's legislative strategy. 

The next item for discussion was the Building Authority Merg er. General Counsel Kirby updated 
the Committee on the proposed Building Authority merger which had previously been proposed in 1991. 
It is anticipated that the Governor would file legislation this fall for a single authority merged into the 
UMASS Authority, and the Board of that Authority would be expanded to include members of the 
current Authorities and the UMASS Board. The legislation is being circulated among the Authorities. 

The final action item on the agenda was the Renewal of Excess Malpractice Insurance Coverag e. 
Chancellor Lazare reported the importance of having this excess insurance, and Vice President Lenhardt 
noted that the Medical Center was able to negotiate an excellent rate. It was further recommended that 
this item be voted on the consent agenda of the full Board. 

It was moved, seconded and 

VOTED : To recommend that the Board strike out from the declarations page of the self-insurance 
program, the words "From July 1, 1993 to July 1, 1994" and to insert therein the words " 
From July 1, 1994 to July 1, 1996"; 

And further, 

To strike out from the declarations page of the self-insurance program, the words 
"$9,000,000 Total Limit for Parts 1 and 2 Combined" and to insert therein the words " 
$12,000,000 Total Limit for Parts 1 and 2 Combined." (Doc. T93-126A) 

The next item on the agenda for discussion was the FY1995 University Operating Budget Preview . 
University Budget Director Uber reminded the Committee that the Operating Budget would come 
forward for action in September. The overview of the document is in the materials that were mailed. The 
final document is a plan for the year ahead, not a financial report, and looks at general revenues and 



-3- 



expenses and trends over time. Ms. Uber reminded the Committee that other pieces of the budget have 
already come forward (student fees, trust funds, state appropriation allocation, etc.) and will be 
integrated into the final budget. She said further that a number of these changes in the budget document 
are in response to Trustee requests for clarity and it is helpful to have feedback. Ms. Uber noted that they 
will continue to provide interim financial reports, information on the capital program, reports on the 
strategic initiatives program, and plan to have a budget workshop for interested Trustees. It was noted 
that the Executive Summaries that are provided in the reports are very helpful, but it is necessary to have 
the campuses agree on common definitions for clarity and ease in understanding, and a longer-term 
financial plan would also be helpful in the legislative budget strategy each year. 

The next item on the agenda was the FY1995 Hospital and Group Pra ctice Operating Budg et. Vice 
President Lenhardt reported that the Medical Center Task Force has been working with President 
Hooker, Chancellor Lazare and others to prepare the budget and another meeting is set for the end of 
August. The budget will come to this Committee for recommendation to the Board in October. 
Chancellor Lazare commented that their greatest challenge is to make the reductions with speed while 
maintaining operations to continue to handle the volume. The Chancellor further reported that they have 
made workforce adjustments to increase efficiencies. Deputy Chancellor Stanton reported that the cost 
reduction plan is proceeding with the assistance of the Trustees and George McClelland. 

Chair Spence noted that the final items on the agenda were for information only and invited any 
questions. Regarding the Annual Report on Professional Service Contracts, there were several 
questions, particularly in regard to the satisfaction of the campuses with those contracts, and the contract 
approval process. Vice President Lenhardt noted that each contract over $100,000 is approved by the 
President, and General Counsel Kirby added that all contracts are put out to bid. It was requested that 
there be more information provided on the report to include a description of services, the term of the 
contract, and whether the contract resulted from an RFP. Further, when a contract reaches or exceeds 
$500,000, the Trustees should be notified at that time, rather than waiting for the annual report. 



The meeting adjourned at 4:20 p.m. 




abeth H. Tuthill 



Elizabeth 

Assistant Vice President, Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Thursday, September 29, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Lizana and Purdy; Vice President and 
Secretary Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent: Trustees Andriolo, Bogan, Flores, Haynes, Lewenberg, O'Leary, Reed 

Other Trustees: Trustee Hoff 

University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby; 
Chancellors Scott, Penney, Cressy, Hogan and Lazare; Ms. Uber, University Budget Director 

Faculty Representatives : Professor May, UMASS Amherst 

Chair Spence called the meeting to order at 3:05 p.m. The first item on the agenda was the FY95 
University Operating Budg et. Valerie Uber, University Budget Director described the Operating Budget 
as the plan for FY 1995, presented on the cash basis for current funds only containing best projections of 
current fund revenues and expenditures for the coming fiscal year. (This is in contrast to the FY94 
University Financial Report, to be presented in November, which is an after-the-fact accrual based view 
of all University financials). The operating budget summarizes information on revenues, expenditures, 
enrollments and personnel for the University as a whole and for the campuses. Ms. Uber noted that the 
overall budget picture is relatively stable: revenues and expenditures are both projected to increase by 3% 
to 4%, there is a slight increase in enrollments and almost no change in personnel. There is an imbalance 
in the budget and Ms. Uber explained that some of this reflects planned, one-time expenses that will 
disappear in FY96, such as payments for early retirement benefits, or planned use of reserves. She also 
indicated that actual experience historically has been better than projected budgets. Campuses are all 
dealing with the FY95 budget in their own ways, and based on unique circumstances. Personnel costs are 
the major element of overall expenditures and, along with collective bargaining commitments, capital 
costs, and student and state revenues will obviously have ramifications for future years as well. The state 
share of revenue out of the $1.24 billion budget is 30%. 

Trustee Spence then asked each Chancellor to briefly review his or her budget picture, focusing on 
the bottom line. Chancellor Cressy reviewed some changes that have been made in the campus's 
operations, and income from grants, institutes and continuing education, noting that the most important 
capital repair is the steam pipe system. Chancellor Lazare spoke next, noting that though the school 
budget is in deficit, there is a large loan repayment that is due to the school from the hospital which 
covers that deficit. He then introduced Dr. Arthur Russo who is the new Deputy Chancellor for Clinical 
Affairs. Chancellor Penney next reported that for the first time in five years, the campus has a stable 
budget, and that they are making the balance through reallocation, having closed the downtown campus 
and through staff reductions. Chancellor Hogan then reported that the Lowell campus is prepared to 
handle debt service form bonding for capital repairs, and sees a modest revenue increase over the next 
five years; the campus plans to cut payroll by $1.8 million. Chancellor Scott next reported on the Amherst 
campus bottom-line which is in a $17.4 million deficit, $11 of which is categorized as a one-time deficit, 
and $5.4 being actual, structural deficit which must be resolved by FY96, and is propagated from FY93. 



There were several follow-up questions for Chancellor Scott, and it was decided that more discussion 
would be held. 

The item was then moved, seconded and 

VOTED: To recommend that the Board approve the FY1995 Operating Budget for the Amherst, 
Boston, Dartmouth, Lowell and Worcester campuses, the Maurice Donahue Institute for 
Governmental Services, the President's Office and Central Administrative Services as 
contained in Doc. T94-062. 

and further 

VOTED; To recommend that the Board approve the FY1995 Hospital Operating Budget as 
contained in Doc. T94-045, Addendum 1. 

And further, 

To reaffirm the following vote taken by the Board on February 3, 1993: 

The University of Massachusetts Medical School Teaching Hospital Trust Fund 
reasonably expects to reimburse, from the proceeds of debt to be incurred by the 
University expenditures to be advanced for the following project: real estate and 
equipment acquisition and building construction, improvements and renovation for the 
Cancer Program, the Joseph T. Benedict Building and the Worcester City Campus. The 
maximum principal amount of debt expected to be issued for such project, including for 
reimbursement purposes is $16.1 million. 

The next item on the agenda was the FY96 Budget Request Guidelines . Trustee Spence reminded 
the Committee that this item is also considered to a great extent by the External Affairs Committee, and 
again recommended this item for the Board's Consent Agenda. President Hooker briefed the Committee 
on the University's plan to follow the guidelines recommended by the Fair Share Funding Task Force, 
currently being drafted as proposed legislation. Some discussion regarding the process that will be 
undertaken during the year was held, and it was agreed would be continued at the External Affairs 
Committee meetings. It was further noted that the guidelines are only the beginning of the particular 
budget strategies and the campuses should include a role in activity for all coalitions that need to be 
involved. 

It was moved, seconded and 

VOTED: To recommend that the Board approve the FY96 State Budget Request Guidelines which 
will be utilized in developing a request to the state for support in the next fiscal year. 
(Doc. T94-097) 

And further, 

To authorize the President to prepare and submit the FY96 State Appropriation request 
using approved Budget Request Guidelines and in consultation with the External Affairs 
Committee. 

The next item on the agenda was the Report of the Investment Subcommittee, and Report of the 
Audit Committee . It was agreed that all items would be voted for the Board's approval on the consent 
agenda after Trustee Lizana had some of his concerns addressed regarding the Cash Management Policy. 

It was moved, seconded and 



-2- 



VOTED: To recommend that the Board accept the following on the Consent Agenda of the full 
Board: 



To accept the FY1994 Treasurer's Investment Report as contained in Doc. T94-091. 



And further, 



VOTED: To recommend that the Board accept the following on the Consent Agenda of the full 
Board: 

To amend the Cash Management Policy by striking the following: 

IV. Investment Banks: 

6. The institution must adhere to the University's policy on Investment which states 

"The University will not invest in any company or lending institution which, either 
directly or through its subsidiaries or affiliates, does business in or with the Republic of 
South Africa or in countries with similar apartheid racial policies." 

And further, 

To add the following language: 

III. Investment Policies and Restrictions: 

k. Equities - Equity securities may be purchased such that this segment of the 

portfolio does not exceed 25% of the total portfolio value. External portfolio managers 
will manage this segment of the portfolio. Portfolio weighted average quality will be 
maintained at no less than A. 

And, 

To approve the amendments clarifying existing activity or grammar listed in Doc. T92- 
031, Appendix F, as amended. 

And further, 

VOTED: To recommend that the Board accept the following on the Consent Agenda of the full 
Board: 

To approve the amendments to the Medical Malpractice Trust Investment Policy listed in 
Doc. T90-056A, as amended. 

And, 

VOTED: To recommend that the Board accept the following on the Consent Agenda of the full 
Board: 

To approve the Policy on Mobile Telecommunications Device as listed in Doc. T94-030. 

And further, 



-3- 



VOTED; To recommend that the Board accept the following on the Consent Agenda of the full 
Board: 

To approve the Policy on Individual Transaction Funds Control as listed in Doc. T94-031. 

The next item on the agenda was Leased Space, UMASS Worcester . Chancellor Lazare told the 
Committee that the leases are necessary for both renewing a lease with the People's Bank (for less space 
than they currently have), and for relocating expanded ambulatory operations. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action on the Consent Agenda: 

To authorize the Chancellor of the Worcester campus, with the approval of the Division 
of Capital Planning and Operations, to lease for five years approximately 33,400 net 
usable square feet of office space near the Worcester campus for the use of the Group 
Practice Plan, Information Resources Department and Continuing Medical Education. 

And further, 

To authorize the Chancellor of the Worcester campus, with the approval of the Secretary 
of Administration and Finance, to lease for five years approximately 4,500 square feet of 
space near the Worcester campus in order to operate a satellite clinic in Psychiatry. (Doc. 
T94-093) 

The next item on the agenda was the Murray Lincoln Fund . President Hooker spoke to the 
importance of having this fund for discretionary grants from the President's Office and identified transfer 
of examples of the various grants that had been made to each of the five campuses from the discretionary 
fund in the President's Office. The transfer of the moneys from this fund would supplement the 
discretionary funds currently held by the President. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

That the income from the Murray Lincoln Fund be transferred into the President's 
Program Fund to be expended in accordance with the guidelines for such Fund set forth 
in Doc. T94-098. 

The next item on the agenda was Capital Financing and Authorization for Intercampus Loan or 
Initiation of Project with SMU Building Authority . Trustee Spence noted that the Committee is up-to- 
date on the various projects that would be addressed through bond sales that have been approved by the 
UMASS Building Authority. These bonds are in place of the State bond program that was not achieved 
last year, and the interest rate through the building authority for Commonwealth guaranteed bonds is 
comparable to the rate that would have applied last year. In addition, this financing will cover the critical 
project needs. In order to begin immediate repair of steam pipes at Dartmouth, the vote will also 
authorize an inter-University loan of $6000,000 to Dartmouth to be repaid with building authority bond 
proceeds. 

To recommend that the Board take the following action: 

WHEREAS, University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, to 
provide dormitories, dining commons and other buildings and structures for the use of 



the University of Massachusetts (the "University")/ its students, staff and their 
dependents and certain organizations related to the University, to alter, enlarge, 
reconstruct, remodel and do other work in or upon or respecting any building or 
structure, to provide and install furnishings, furniture, machinery, equipment and 
facilities in or for or related to any such building or structure and to initiate projects for 
such purposes upon written request made by authority of the Trustees (the 'Trustees") of 
the University and upon written approval from the Commissioner of Administration and 
the Chancellor of the System of Public Higher Education (the "Chancellor"); and 

WHEREAS, in the judgment of the Trustees it is in the best interests of the University, its 
students, staff and their dependents and said organizations that the Authority initiate the 
projects described by the following: 

NOW THEREFORE, BE IT RESOLVED THAT: 

1. The President of the University be and he hereby is authorized in the name and 
on behalf of the Trustees to make a written request of the Authority that the Authority 
initiate the projects set forth on Schedule A attached hereto. 

2. The projects to be initiated by the Authority in accordance with the request 
authorized to be made in Section 1 of this resolution may in the discretion of the 
Authority be undertaken separately or together for financing purposes; and 

3. The President of the University and all other officers of the University be and 
they are and each acting singly is authorized and directed to request the Commissioner of 
Administration and the Chancellor to approve in writing the undertaking by the 
Authority of the projects a request for which is hereby authorized and to do such other 
things and to take such other action as to the officer or officers so acting shall, as 
conclusively evidenced by their taking the action hereby authorized, deem necessary or 
desirable to be done or taken to carry into effect the matters hereby authorized. (Doc. 
T92-1 18, Addendum 6, Part Two) 



And further, 
VOTED: 



To recommend that the Board take the following action: 

WHEREAS, there is an immediate need to repair steam lines at the Dartmouth campus, 

NOW THEREFORE BE IT RESOLVED, 

The President of the University is authorized (1) pursuant to Doc. T92-031 to approve an 
inter-campus loan to the Dartmouth campus from the University's cash float in an 
amount not to exceed $600,000, to be repaid with interest at the prime rate of interest to 
be determined by the University Treasurer, from the proceeds of the University of 
Massachusetts Building Authority bonds to be issued for emergency capital needs; or (2) 
to make a written request of the Southeastern Massachusetts University Building 
Authority to initiate a project for repair of the steam lines. In the event that the project is 
initiated by the Authority in accordance with this resolution the President and all other 
officers of the University be and they are and each acting singly is authorized and 
directed to request the Commissioner of Administration and the Chancellor of HECC to 
approve in writing the undertaking by the Authority of the project, a request for which is 
hereby authorized. 



-5- 



The President is authorized to do such other things and to take such other action as he 
deems necessary or desirable to carry into effect the matters herein authorized. 

There was further discussion regarding the Cash Management Policy (as reflected above), and 
Trustee Lizana asked that interest earned on Trust Funds be a discussion item for a future meeting. The 
meeting was adjourned at 4:10 p.m. 

Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-6- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, November 29, 1994; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Giblin, Haynes and O'Leary; Ms. Farrell, 
Assistant Vice President for Board Relations 

Committee Members Absent: Trustees Andriolo, Bogan, Flores, Lewenberg, Lizana, Purdy, Reed 

Other Trustees : Trustee Karam 

University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby; 
Chancellors Scott, Penney, Cressy, Hogan and Lazare; Ms. Wanczyk, University Controller 

Faculty Representatives : Professor May, UMASS Amherst 

Chair Spence called the meeting to order at 3:10 p.m. The first item on the agenda was the FY1994 
Financial Report . Vice President Lenhardt asked Ms. Wanczyk to identify the highlights of the report. 
Ms. Wanczyk noted the importance of Trustee input through interviews and the fiscal conference in 
revising and refining the financial report. Ms. Wanczyk then reviewed the report and addressed specific 
questions from the Trustees, particularly in the area of the FY94 budget deficit. The Committee expressed £ 

concern for knowing explicitly when any campus plans to utilize fund balances to meet operating > 

expenditure purposes in order to avoid a surprise depletion of those funds. Following discussion a 

regarding accrued employee liabilities and workforce, the Committee requested comparable information 
from peer institutions, as well as specific manpower information including areas of current hires, 
expected hires, hires compared with budget, and headcount vs. FTE numbers. Ms. Wanczyk reminded 
the Committee that the financial report includes information for all 13 financial entities that make up the 
University; it does not include the foundations. In regard to the standard percentage of tuition and fees 
to education and general expenditures, the University is at 30.6%, Standard and Poors recommends 25% 
and below; Ms. Wanczyk will prepare for the March Committee meeting the tuition and fee percentage 
from peer data for a more relevant comparison. 

The Committee returned to the issue of the operating deficit for FY1994, and Trustee Haynes noted i 

that the Audit Committee had also discussed this issue and found it significant enough to warrant a 
Trustee resolution to continue to ensure the financial integrity of each campus by specifically requesting 
information to be collected, held and monitored by the President's office. 

Trustee Haynes then put forward the following resolution: 

WHEREAS, it is the responsibility of the Trustees and President of the University to 
assure the financial integrity of the University; and 

WHEREAS, it is the responsibility of the Chancellor of each campus with delegation 
from the President to insure the fiscal integrity of the campus; and 



> 



WHEREAS, the University must have fiscal boundaries that include a positive ratio of 
current assets to current liabilities, positive expendable fund balances, and operating 
surpluses; and 

WHEREAS, the University needs continuing working capital surpluses to support new 
program development and increased grant and contract activity, and to plan for fiscal 
emergencies: 

NOW THEREFORE, BE IT RESOLVED THAT: 

The Board of Trustees hereby requests the President to establish and monitor financial 
standards and parameters for ensuring the fiscal integrity of the campuses, and further to 
set requirements for action when any campus or University operation does not meet said 
financial standards, including but not limited to detailed spending plans, monthly 
expenditure and revenue reports, and long-term action plans for reaching financial 
integrity, provided that the President shall provide a copy of the financial standards and 
parameters to the Committee on Administration and Finance and the Audit Committee. 

Trustee Haynes further explained the need for the Committees and the Board to know where there 
are potential fiscal emergencies, and the need to know actual financial standing to monitor activities in 
difficult budget years, such as this year. Trustee O'Leary voiced concern for this being an excessive 
burden on the campuses and an exercise that will create an unnecessary and major bureaucracy within 
the institution. Trustee Haynes indicated that the intent is not to be onerous, but to monitor and help the 
campuses, in addition to building significant data for studying long-term trends. The request for 
information on guidelines based on the following resolution will only be made when the situation 
warrants it, as determined by the President. 

The item was then moved, seconded and 

VOTED: To recommend that the Board approve the above resolution. 

Trustee O'Leary abstained. 

It was then moved, seconded and 

VOTED: To recommend that the Board accept the University of Massachusetts FY1994 Financial 
Report (Doc. T94-1 13). 

The next item on the agenda was the Massachusetts Prepaid Tuition Program . Vice President 
Lenhardt pointed to the information that was mailed to the Committee and answered questions 
regarding the program. He indicated further that this program is being promoted by the Executive 
Offices as well as the Legislature. The major risk to the University is if tuition is consistently increased by 
inflation plus 2% on a compounded basis over the next 10 to 20 years. 

It was moved, seconded and 

VOTED; To recommend that the Board approve participation by the University in the 
Massachusetts Prepaid Tuition Program established by the Massachusetts Educational 
Financing Authority under the provisions of Massachusetts General Laws, chapter 15C, 
§5(fl/2), as described in Doc. T94-116; and further, to authorize the President to enter 
into any agreements necessary to effectuate the University's participation in the Program, 
including but not limited to agreements to waive, if necessary, increases in mandatory 
fees which may exceed the payments received by the University from the Massachusetts 
Educational Financing Authority under the Program. 



The next agenda item was Update on Capital Financing . Vice President Lenhardt reminded the 
Committee that the University's capital program was submitted in the Governor's Capital Bill which will 
not likely be acted on in this legislative session. In regard to the UMASS Building Authority. Vice 
President Lenhardt indicated that the Authority will be borrowing $18.4 million for repair and 
maintenance projects on the four undergraduate campuses. The debt service reserve fund should allow 
the University to do approximately $20 million in projects over the next three years. 

The next item for action was the SMU Building Authority Refinancing. UMASS Dartmouth . Vice 
President Lenhardt noted that Chancellor Cressy and the President recommend this very standard 
refinancing which reflects savings to the UMASS Dartmouth campus. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the SMU Building Authority refunding of its 1986 
Series A Bonds as listed in Doc. T94-118. Further, to direct the Dartmouth campus to 
develop a final plan for the use of the refund savings as part of its FY1996 Student Fee 
Budget process in the Spring, 1995. 

The next action item in regard to capital financing was Hadley Farm . Chancellor Scott informed the 
Committee that the campus has budgeted for the base payments on the farm. The Committee expressed 
it's concern regarding the initial plans brought to the Board for planned fundraising to pay for the farm. 

It was moved, seconded and 

VOTED : To recommend that the Board authorize the University Treasurer to loan to the 
University of Massachusetts Foundation the sum of $2.9 million at an agreed upon 
interest rate for a period of ten years, for the purchase, repair and maintenance of the 
Hadley Farm, with principal and interest to be repayable based on an amortization 
schedule approved by the Treasurer, as set forth in Doc. T90-073, Addendum 1; 

and further, 

to authorize the Chancellor of the Amherst campus, subject to approval of the General 
Counsel, to assent on behalf of the University to a lease agreement between the Division 
of Capital Planning and Operation and the Foundation for use of the premises by the 
campus; such lease to include a provision for the Amherst campus to pay on a monthly 
basis the costs of servicing the $2.9 million loan made by the Treasurer to the UMASS 
Foundation. 

The next item for action was the Transfer of Capital Asset Reserve Funds to Quasi-Endowment, 
UMASS Worcester . Vice President Lenhardt informed the Committee that this vote was necessary under 
the previously approved Quasi-Endowment Policy. 

It was moved, seconded and 

VOTED : To recommend that the Board approve a transfer of $12,800,000 from the Worcester 
campus Capital Asset Reserve to the Quasi-Endowment; said funds will be restricted for 
capital purposes. (Doc. T94-122) 

The next item on the agenda was the Interim Financial Report . Vice President indicated that the 
Committee had seen the first quarter report, and the second quarter report at the end of December, 1994 
will present a more clear picture of the University's status. A critical area for the University, as discussed 
under the Financial Report, was the cost of benefits. 



-3- 



The final agenda item was the FY1996 Budget Request . The request was sent to the Higher 
Education Coordinating Council and will be forwarded now to the Governor and Chairmen of the Senate 
and House Ways and Means Committees. The HECC removed $500K from the budget, but the 
University will include that item on the request to the Governor and the legislature. 

There being no further business to come before the Committee, the meeting adjourned at 4:35 p.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-4- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
ATHLETIC COMMITTEE 

Monday, January 24, 1994; 3:30 p.m. 

Knapp Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg; Trustees Cunningham, Foley and O'Leary; Mrs. 
Fontaine, Secretary to the Board 

Committee Members Absent : Trustees Bogan and Karam 

University Administration : President Hooker; Ms. Tuthill, Assistant to the President; Mr. Marcum, 
Athletic Director, UMASS Amherst; Mr. Dowd, Athletic Director, Mr. Titus, Athletic Director, UMASS 
Boston; UMASS Dartmouth; Mr. Edwards, Athletic Director, UMASS Lowell; Ms. Harris, Athletic Health 
Educator and Ms. Sortino, Associate Athletic Director, UMASS Amherst; Mr. Sperounis, Vice Chancellor 
for University Relations and Development, UMASS Lowell 

Guests : Brian Andriolo, President Student Government Association, UMASS Lowell 

Chair Lewenberg convened the meeting at 3:30 p.m. The first item on the agenda was the National 
Collegiate Athletic Association. President Hooker reported on the significant outcomes of the recent 
National Collegiate Athletic Association convention. He spoke about Presidential leadership and reform 
in intercollegiate athletics, the tightening of control and oversight to keep credibility and confidence 
within the public. There needs to be continued control through the NCAA. During the convention there 
was an issue raised by the Basketball Coaches Association and Black Coaches Association which exposes 
the need for debate and discussion of access based on a scholarship reduction and a proposal to reinstate 
one scholarship this year. President Hooker also said that he expects a change in the NCAA governance 
structure, to create an agenda steering committee and a number of reform efforts to increase truth in 
reporting, particularly in the area of financial control. 

Each of the Athletic Directors then gave their perspective on the outcome of the convention and the 
impact on the campuses. The importance of the special NCAA Committee to study the Association's 
membership structure to recommend different modes to the member institutions for review, reactions 
and possible action at the NCAA's 1995 convention, with final action to be taken no later than the 1996 
convention, was noted and discussed. 

There was also a discussion of the realignment of conferences, efforts at UMASS Lowell to reclassify 
and the impact if realignment occurs. 

Chair Lewenberg spoke about the importance of keeping the Trustees informed and made aware of 
the impact of actions taken by the campuses. 

The next agenda item was an Update and Information on Diversity Efforts . Chair Lewenberg asked 
the Athletic Directors to update the Committee on plans and progress coming out of the Diversity 
Training Workshops held last fall. Mr. Marcum introduced Robin Harris, Athletic Health Educator who 
said that as a result of the training conference, the campus has identified several issues and concerns on 
the campus and future steps to be taken. Among the issues cited were transition issues for black student 
athletes to the community, and the need for hiring practices to change so as to increase access for 



minorities and women. She also reported on a survey distributed to the students about needs and issues 
for the athletes. 

Mr. Titus reported that the intercollegiate program at Boston is making an effort to enhance the 
women's program, possibly adding soccer and tennis, address facilities issues, and to continue to move in 
areas identified as problem areas. He also reported on construction of the new Wellness Center facility, 
tentatively scheduled to open in February. 

Mr. Dowd also reported on efforts and findings with student teams on diversity issues. 

Mr. Edwards reported on activities at Lowell which have been implemented following the initial 
Training Workshops. One of the programs he cited was the UMASS Lowell Youngstars Program, a 
program where current student-athletes visit local schools to talk with students about a variety of issues 
including drug and alcohol use, racism, and staying in school. The campus has also conducted MVP 
workshops. 

The next item for discussion was the Facility Update on plans for a new facility at UMASS Lowell. 
Mr. Edwards reported that a draft feasibility study from Coopers and Lybrand was expected tomorrow. 
It is anticipated there will be a public presentation in the next few weeks and Chancellor Hogan will 
report on it to the Athletic Committee. Vice Chancellor Sperounis spoke about the need for the facility 
including a student center, but at the same time recognized the need for the campus to be sensitive to the 
city and explore all possibilities with them. Trustee Cunningham expressed the view that a facility off 
campus would fragment the campus and strongly effect morale. 

Brian Andriolo, President of the Student Government Association voiced a concern about the 
posisibility of two facilities being located in separate locations and the impact in terms of user fees on the 
students. 

The Committee asked for a future presentation to the Committee, and that visuals of the proposed 
site locations be provided. 

Under Other Business, Mr. Dowd indicated that there are efforts to attract the World Cup Soccer 
team to train at UMASS Dartmouth and he indicated the tremendous impact this would have on 
Massachusetts, particularly the Southeastern Massachusetts area. 

The meeting adjourned at 4:54 p.m. 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, March 8, 1994; 3:30 p art. 

Knapp Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg; Trustee Foley; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent: Trustees Bogan, Karam and O'Leary 

University Administration : President Hooker; Chancellor Scott; Vice President Lenhardt; General 
Counsel Kirby; Ms. Tuthill, Assistant to the President; Mr. Marcum, Mr. Titus, Mr. Dowd and Mr. 
Edwards, Athletic Directors; Mr. Curley, Merchandising Manager; Mr. Skinner, Associate Athletic 
Director 

Guests : Mr. Riley, Mr. Sullivan 

Chair Lewenberg convened the meeting at 3:50 p.m. The first item on the agenda was 
Merchandising and Licensing of UMASS Log o. President Hooker spoke to this issue and the concerns 
which have been expressed to him about the marketing of the University logo to the extent that the 
University is maximizing revenue. Trustee Lewenberg shared those concerns and noted that with the 
success of the athletic programs, there are opportunities to maximize revenue and ensure that we are ^ 

deriving all available benefits. 



Mr. David Curley, Merchandising Manager and Licensing Administration for the entire system from 
the Amherst campus, responded to specific questions. He spoke about the enormous growth there has 
been for UMASS products in outside retail and gave a comparison of net revenue for the last two years, 
noting an increase over the years. 

President Hooker expressed the Board's aggressive interest in selling logo items and the value of 
getting the University's name out to the public. Chair Lewenberg reinforced this by noting that a key 
element is to increase the energy level so that each campus is doing something aggressive and brings the 
products to market in an expeditious manner. 

In response to a question about the different logos the University licenses, Mr. Curley outlined the 
process noting that the University has three trademark patents pending and possibly one more. There 
was also a discussion about distribution of the profits as well as preparation for upcoming sales if the 
UMASS Amherst Basketball team is successful in the 1994 NCAA tournament. 

Chair Lewenberg asked about what resources are needed to allow the program to grow to a top tier 
program. There is a need from a personnel perspective for additional marketing and advertising 
expertise, specifically in radio and television. There was a suggestion made to develop initiative 
programs with manufacturers' representatives. 

There was also a discussion about the need for the campus bookstores to be open and to maximize 
those opportunities when people are on campus for various events such as graduation and athletic (and 
other) events. 



> 



The next item on the agenda was Facility Update, UMASS Lowell . Mr. Edwards outlined for the 
Committee the historical events to the present. He made available the information from the Coopers and 
Lybrand feasibility study recently released. The study suggests support for a multi-purpose area with 
between 6,000 and 8,000 seats. It is estimated that such a facility would generate an operating deficit of 
approximately $543,000 annually, based on an estimated one hundred events being held with a total 
attendance of approximately 220,000. 

The student concerns that the facility be located on campus were expressed, and Mr. Edwards 
outlined Chancellor Hogan's position that if the city or state can secure the funds available he would 
participate in the city site, with the University building a recreational facility on campus. It was further 
noted that Chancellor Hogan intends to establish a specific time frame of May 1, 1994 for the city to have 
the funding, and if funds are not available the University would move forward with a recreational and 
facility site on campus. 

The Athletic Committee expressed its support of the city /campus cooperative efforts to establish a 
multi-purpose arena and agrees that the Chancellor should establish a specific time frame of May 1, 1994 
for the City of Lowell to solidify its financial commitment of funds. 

The next item on the agenda was Medical Policies and Protocols. Trustee Foley voiced his opinion 
that as a University policy, all athletes should have a physical examination each year and that medical 
care should continue throughout the season. He noted the educational program at the UMASS Medical 
Center which is a model that can be looked at and the campuses should take advantage of those available 
resources. 

The Athletic directors noted the campus procedures of first year athletes' physical examinations, as 
required by the NCAA regulations, and also expressed concern about costs. Trustee Foley suggested the 
possibility of the administration pursuing Worcester lending their expertise to provide these 
examinations. 

Mr. Marcum then updated the Committee on efforts related to Astroturfing and Lighting the 
stadium. The estimated cost involved in this project of approximately $1.4 million, with direct benefits 
to field hockey, band festivals, and the Ogden Company providing summer concerts. There was then a 
discussion of related issues including injuries and funding. 

Trustee Foley expressed concern about increased risk of injuries and asked that there be more staff 
research on the current literature on this subject. 

There being no further business to come before the Committee, the meeting adjourned at 6:32 p.m. 



C 





'ynthia A. Fontaine 
Secretary to the Board of Trustees 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, March 8, 1994; 3:30 pan. 

Knapp Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg; Trustee Foley; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent: Trustees Bogan, Karam and O'Leary 

University Administration : President Hooker; Chancellor Scott; Vice President Lenhardt; General 
Counsel Kirby; Ms. Tuthill, Assistant to the President; Mr. Marcum, Mr. Titus, Mr. Dowd and Mr. 
Edwards, Athletic Directors; Mr. Curley, Merchandising Manager; Mr. Skinner, Associate Athletic 
Director 

Guests : Mr. Riley, Mr. Sullivan 

Chair Lewenberg convened the meeting at 3:50 p.m. The first item on the agenda was 
Merchandising and Licensing of UMASS Log o. President Hooker spoke to this issue and the concerns 
which have been expressed to him about the marketing of the University logo to the extent that the 
University is maximizing revenue. Trustee Lewenberg shared those concerns and noted that with the 
success of the athletic programs, there are opportunities to maximize revenue and ensure that we are 
deriving all available benefits. 

Mr. David Curley, Merchandising Manager and Licensing Administration for the entire system from 
the Amherst campus, responded to specific questions. He spoke about the enormous growth there has 
been for UMASS products in outside retail and gave a comparison of net revenue for the last two years, 
noting an increase over the years. 

President Hooker expressed the Board's aggressive interest in selling logo items and the value of 
getting the University's name out to the public. Chair Lewenberg reinforced this by noting that a key 
element is to increase the energy level so that each campus is doing something aggressive and brings the 
products to market in an expeditious manner. 

In response to a question about the different logos the University licenses, Mr. Curley outlined the 
process noting that the University has three trademark patents pending and possibly one more. There 
was also a discussion about distribution of the profits as well as preparation for upcoming sales if the 
UMASS Amherst Basketball team is successful in the 1994 NCAA tournament. 

Chair Lewenberg asked about what resources are needed to allow the program to grow to a top tier 
program. There is a need from a personnel perspective for additional marketing and advertising 
expertise, specifically in radio and television. There was a suggestion made to develop initiative 
programs with manufacturers' representatives. 

There was also a discussion about the need for the campus bookstores to be open and to maximize 
those opportunities when people are on campus for various events such as graduation and athletic (and 
other) events. 



> 

XI 



The next item on the agenda was Facility Update, UMASS Lowell . Mr. Edwards outlined for the 
Committee the historical events to the present. He made available the information from the Coopers and 
Lybrand feasibility study recently released. The study suggests support for a multi-purpose area with 
between 6,000 and 8,000 seats. It is estimated that such a facility would generate an operating deficit of 
approximately $543,000 annually, based on an estimated one hundred events being held with a total 
attendance of approximately 220,000. 

The student concerns that the facility be located on campus were expressed, and Mr. Edwards 
outlined Chancellor Hogan's position that if the city or state can secure the funds available he would 
participate in the city site, with the University building a recreational facility on campus. It was further 
noted that Chancellor Hogan intends to establish a specific time frame of May 1, 1994 for the city to have 
the funding, and if funds are not available the University would move forward with a recreational and 
facility site on campus. 

The Athletic Committee expressed its support of the city /campus cooperative efforts to establish a 
multi-purpose arena and agrees that the Chancellor should establish a specific time frame of May 1, 1994 
for the City of Lowell to solidify its financial commitment of funds. 

The next item on the agenda was Medical Policies and Protocols. Trustee Foley voiced his opinion 
that as a University policy, all athletes should have a physical examination each year and that medical 
care should continue throughout the season. He noted the educational program at the UMASS Medical 
Center which is a model that can be looked at and the campuses should take advantage of those available 
resources. 

The Athletic directors noted the campus procedures of first year athletes' physical examinations, as 
required by the NCAA regulations, and also expressed concern about costs. Trustee Foley suggested the 
possibility of the administration pursuing Worcester lending their expertise to provide these 
examinations. 

Mr. Marcum then updated the Committee on efforts related to Astroturfing and Lighting the 
stadium. The estimated cost involved in this project of approximately $1.4 million, with direct benefits 
to field hockey, band festivals, and the Ogden Company providing summer concerts. There was then a 
discussion of related issues including injuries and funding. 

Trustee Foley expressed concern about increased risk of injuries and asked that there be more staff 
research on the current literature on this subject. 

There being no further business to come before the Committee, the meeting adjourned at 6:32 p.m. 

C 





'yntnia A. Fontaine 
Secretary to the Board of Trustees 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 

COMMITTEE ON ATHLETICS . 

Tuesday, September 20, 1994; 3:30 p.m. v * v .*, 

18 Tremont Street - Suite 800 
Knapp Room 
Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg, Trustees Andriolo and Foley; Vice 
President and Secretary Boyd; Assistant Vice President Farrell 

Committee Members Absent : Trustees Bogan, Karam and O'Leary 

Other Trustees : Trustee Haynes 

University Administration : President Hooker; Chancellor Hogan; General Counsel Kirby; 
Athletic Directors Dowd, Edwards, Marcum, and Titus; Vice President Sessoms 

Guests : Mark Lindhult, UMASS Amherst 

Chair Lewenberg convened the meeting at 3:35 p.m. and introduced the first item, 
presentation of the Annual Reports Including Academic Statistics, and noted that he was 
concerned about the usefulness of the annual reports, wanting to minimize the time spent 
preparing information that is not useful in an overall way. Trustee Lewenberg further requested 
that, at the conclusion of the reporting from the Athletic Directors, there should be discussion on 
information that should be in the annual reports. 

Each athletic director then reviewed particular aspects of their reports: 1993-94 Major 
Accomplishments and a preview of the year ahead; academics: achievements; changes, progress, 
needs; student satisfaction (intercollegiates, intramurals); community activities: major programs; 
facilities: progress or needs. Discussion regarding graduation rates was held, and in particular, 
the problem for Division III institutions (Boston and Dartmouth) as more Division III athletes 
don't compete for all four years. Trustee Lewenberg reiterated the importance of collecting the 
data for reasons of understanding the connection of the various data (SAT scores, GPA's, 
graduation rates, etc.) to the larger mission of the departments and the campuses as a whole. 

Trustee Lewenberg further requested that the annual report financial sections include less 
details regarding purchases, but more comparative data, for example, the amount it costs to field 
a particular program. The only financial information that is coordinated by the NCAA is for 
Division I institutions and will, most likely, only be used for a limited purpose. There was also 
discussion regarding the comparative numbers of male and female athletes, and Title IX 
initiatives at all of the campuses. In the area of student satisfaction, UMASS Amherst conducts 
an "Exit Interview" survey of its athletes who have completed their eligibility, asking various 
questions about their experience as an athlete and as a student. The athletic directors from 
UMASS Boston and Dartmouth requested that Mr. Marcum share that survey with them. 

Trustee Lewenberg then referred the Committee to the mission statement of the Athletic 
Committee which was approved on November 18, 1992 as a reminder to the Committee of the 
purpose for meeting and the basis for the requests for information. 

The next agenda item was discussion of the Lowell Arena . Chancellor Hogan provided an 
update on the progress of the proposed arena, noting that the two central issues are a student 
center that will bring the student population together in a social area which the campus currently 



lacks, and a hockey rink for intercollegiate, intramural and recreational use for the campus. The 
City of Lowell has proposed building a City arena which UMASS could use leaving the 
University to build its own student center on campus. The city did receive authorization for $20 
million to build the arena from the state. The campus has made a proposal to provide a 
contribution to the building of the city's arena (the practice rink) in receipt for 10 rent-free playing 
nights, and 825 hours of practice and recreational time every year. There is no expectation of an 
answer on this proposal from the city in the immediate future. 

Trustee Lewenberg then asked Mark Lindhult from UMASS Amherst to provide the 
Committee information from his work on the Lowell Study Group where he and his colleagues 
were asked to look at the physical layout of the campus and consider other issues, such as 
enrollment and market niche. Mr. Lindhult described the process which included interviewing a 
great number of students, faculty, staff, members of the Lowell Plan and city administrators 
regarding the place of the University in the community. Much of the discussion regarding the 
layout of the campus centered on the arena. 

Mr. Lindhult then presented a video representation of the campus, identifying the four 
proposals. City Option I would have the arena and practice rink located on the city cite and the 
student center on the University parcel (distance is approximately 2500 ft.); City Option II would 
have the arena located on the city cite, with the practice rink and student center on the University 
parcel, physically linked to the downtown arena with improved transportation and lighted 
walkways. If these options fail, the University would build its own arena and student center on 
University property, and there are currently two proposed campus locations, being the third and 
fourth options. Mr. Lindhult's recommendation would be City Option II; based on campus need, 
location, and cost. Mr. Edwards commented on the need for a defined and well-established 
headquarters for the hockey coach and team, particularly for recruiting purposes. Other issues to 
consider are the ownership of rental ice, capacity of the two proposed arenas, attendance for 
hockey games, and location and availability of the city parcel for the arena. The construction 
timeline would be approximately 3.5 years. 

The Chancellor reiterated the possibility of working with the city on the entire project, but 
also noted that campus has continued to leave the management of the arena to the city, and the 
University has no intention of participating in any deficit amelioration of a city-built and 
operated arena. Trustee Andriolo spoke of the campus pride in the hockey team and how it is 
essential to have the facilities built, for the student body and the continued success of the team 
and expressed concern for any operating deficit from the arena, noting that students should not 
be at any risk of shouldering any deficits. There was general agreement that the University could 
not take any responsibility for any deficit deriving from operations of a city owned and operated 
arena. 

The Committee stressed its intention to cooperate to the fullest extent possible in order to 
make the project successful, also noting the priority being the fiduciary responsibility of the 
Trustees. Trustee Lewenberg asked that some credible conclusion from these studies be brought 
to this Committee and the Administration and Finance Committee. He also noted that the 
Committee would like to have conclusion on this entire issue by January. The Committee was 
further reminded that though the legislature has authorized $20 million for the arena, the 
Governor has not released the fund which would come from G.O. bonds. 

There being no further business to come before the Committee, the meeting was adjourned at 
5:50 p.m. 

Elizabeth Tu thill Farrell 

Assistant Vice President, Board Relations 

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UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Monday, November 21 1994; 3:00 p.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg, Trustees Andriolo, Bogan, Foley and 
O'Leary; Assistant Vice President Farrell 

Committee Members Absent : Trustee Karam 

University Administration : President Hooker; Chancellors Hogan and Scott; General Counsel 
Kirby; Athletic Directors Dowd, Edwards, Marcum and Titus; Associate Athletic Directors 
Skinner and Sortino; Vice President Sessoms; Mr. Costello, Chair, UMASS Lowell Athletic 
Committee; Mr. Chesloff, Assistant to the President 

Guests Julie Thomas, President, UMASS Lowell SGA; Mark Druen, President, UMASS Lowell 
Senior Class; Cory Lewandowski 

Chair Lewenberg convened the meeting at 3:05 p.m. President Hooker began by citing the 
unfortunate press coverage of the UMASS Amherst men's basketball team academic standing, 
noting that he and the Chancellor are working together with the Athletic Director, the Coach, the 

advisors and the team to continue to ensure strong academic success for student athletes and he g 

reported that the current academic support program is very good. Chancellor Scott will provide > 

a report to the next meeting of the Athletic Committee on this issue, including a report on *) 

particular courses that some student athletes are enrolled in. Chair Lewenberg noted his 
confidence in the integrity of the academic program for athletes and the leadership of Coach 
Calipari in this area. 

Chair Lewenberg then introduced the first item, discussion of the Trophy/Cup Award, 
UMASS Amherst and Lowell . After some discussion, it was decided that the President's Office 
would work out the details for presenting a trophy to the winner of the three hockey contests 
between the two institutions for this (1994-95) season. Is was also suggested an endowment for 
the trophy be solicited. The athletic directors from the Boston and Dartmouth campuses 
expressed interest in a winner's trophy or cup stemming from contests between the two 
institutions, which they will further discuss and bring back to this Committee. 

The next item on the agenda was an update on the Division 1A Task Force, UMASS 
Amherst . Chancellor Scott indicated that the task force membership was established and they 
hope to convene a meeting very soon. He outlined the charge of the task force being to explore 
the implementation of Division 1A football, and identified the various areas that the task force 
will address. Trustee Lewenberg is a member of this task force. The task force is expected to 
complete a report by the end of the 1995 academic year which will be shared with campus 
governance groups, university administration and this Committee. Some further discussion 
regarding the change to Division 1 A football was held, particularly the importance of keeping the 
football stadium on the campus. An important consideration (which will be studied by the task 
force) is whether the region can support the program. 



> 



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The next item on the agenda was the discussion of the proposed Lowell Arena . Chancellor 
Hogan updated the Committee on the progress to date of discussions between the city and the 
University, and reviewed the various aspects of the proposed financial plans to support the 
arena, from the city, the state and the University. The Chancellor reviewed the physical needs of 
the campus, and the proposed sites and options for the student center and ice facility. The 
Chancellor proposed that the student center be built on the campus and that the campus be a 
tenant in the city's ice arena which would be located on a site adjacent to the campus. He noted 
his concern for the future of the city and the need for the campus to work with the city to support 
and encourage the economic revitalization. Further discussion regarding the bond bill, the city 
referendum, the city's current plans to hire a manager, the building sites and potential 
obstructions to building, the potential of having a minor league hockey team, and the campus 
plans for student services were discussed. 

Chair Lewenberg then offered the floor to three students from UMASS Lowell who spoke in 
turn, Julie Thomas, president of the Student Government Association; Matt Druen, president of 
the UMASS Lowell senior class, and Cory Lewandowski. They spoke regarding communications 
with city officials, the importance of the hockey program, the critical relationship between the 
institution and the business plans at the arena, and the need for a student center The Committee 
then heard from Thomas Duffy, immediate past-president of the UMASS Lowell Alumni 
Association (see attached letter for record). 

Chair Lewenberg then asked President Hooker to convene a group consisting of 
representation from the Committee (Trustee Lewenberg would serve), the President's and 
Chancellor's staff (including the Chancellor) to study how best to come to agreement on the arena 
to the benefit of all parties concerned. The Trustees offered their support of the Chancellor and 
indicated their interest in helping to resolve this issue, with the first objective being the protection 
of the fiduciary interests of the campus. 

Chair Lewenberg then turned to the next item, Update and Overview of Title IX Activity, 
the first discussion item being the Legislative Report . President Hooker indicated that the 
legislature will probably not consider this item during this term due to the amount of business to 
consider in a short period of time, but that the Administration is still encouraging activities on 
behalf of the Governor's capital outlay bill. Trustee Lewenberg indicated the Committee's 
interest in continuing the discussion regarding artificial turf as the subject had not been resolved 
at the Committee level; General Counsel Kirby noted that if funds are spent on Astroturf it must 
be for field hockey, but there is flexibility in the area of placing the Astroturf. 

The Committee then heard Campus Updates on Title IX . Each athletic director reviewed 
progress and plans for Title IX compliance on the campuses. The information compiled was 
based on new federal regulations and reviewed with an eye toward comparability across the 
campuses and year-to-year progress reports. The Trustees reiterated their interest in having all 
campuses in Title IX compliance, and President Hooker reminded the Committee of his promise 
that all campuses would be in compliance by the year 2000. Further discussion was held 
regarding legal and OCR requirements for determining compliance, more and more based on 
rulings by federal courts. For the Amherst campus, changes and progress made accelerates the 
five year plan in the area of participation rates and scholarships. Discussion regarding salary 
structure at the four campuses was also held, pointing out that salaries are driven by market 
factors and are more an employment issue than Title IX. 

The next item on the agenda was the Review of First Year of CSSS/NCAS Membership . 
Each campus reported on their activities with the Center, all of them finding the programs very 
helpful. They have, in various capacities, continued the special programs, like the Diversity 
Training Program. The Amherst and Lowell campuses are involved in the MVP program and 
have found it a positive impact on their students, but issued concerns regarding the privacy 



issues for a particular survey request. Chair Lewenberg reiterated the importance of the Athletic 
Departments being leaders and central players in the overall campus life, and that outreach to the 
community is essential for athletic departments. 

Mr. Skinner noted that the director of Lowell's National Youth Sports Program (NYSP) will 
be attending the national workshop for the NYSP where the program will be recognized as one of 
the outstanding programs of its kind in the nation. 

Trustee Foley indicated the importance of the Astroturf discussion to the Athletic Committee 
and, in light of the Governor's Capital Bill, would like to ensure that the Trustees come to 
resolution on the issue with thorough discussion regarding plans for determining which teams 
would use the turf and what the needs are. 

Trustee Foley then made a motion to enter Executive Session to discuss potential litigation 
issues. Chair Lewenberg voted for the motion as did Trustees Andriolo, Bogan, Foley, and 
O'Leary. The time was 5:25 p.m. 



The meeting was adjourned at 6:05 p.m. 



lizabeth H.Tu thill Tarrell c 

Assistant Vice President, Board Relations i- 



> 
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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, January 4, 1994; 8:30 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes and Mrs. Fontaine, Secretary of the Board 

University Administration : Chancellor Lazare, Executive Vice President Sessoms; Vice 
President Lenhardt; General Counsel Kirby; Mr. Wolcott, Director of Auditing; Vice Chancellor 
Page and Deputy Chancellor Stanton 

Guests : Mr. Robert Elam and Ms. Donna Desmond, Ernst & Young 

Chair Haynes convened the meeting at 8:45 a.m. Mr. Wolcott then briefed the Committee 
about the University Auditor's reports listed on the agenda. The first two audits, Recreational 
Fees and Public Safety Payroll System. UMASS Amherst , were follow-up audits. Mr. Wolcott 
spoke to the implementation of the corrective actions. Chair Haynes noted concern about the one 
unaddressed issue. 

The next audit reviewed was the Employee Business Expenses Processing and Control 
Audit, UMASS Worcester . The university-wide issues were identified and the recommendations 
were discussed. The Chair asked that the administration develop issuance and monitoring 
policies related to these issues and report back to the Committee for review and further 
discussion. 

Other areas specific to the Worcester campus were discussed and it was noted that corrective 
actions have been implemented. A copy of the campus' response to the audit was distributed to 
the Committee. It was moved, seconded and 

VOTED : To recommend that the Board accept the following Reports: 

•Recreational Fees Follow-Up Audit, UMASS Amherst (Doc. T94-004) 
•Division of Public Safety Payroll System Follow-Up, UMASS Amherst 

(Doc. T94-005) 
•Employee Business Expense Processing and Control Audit, UMASS Worcester 

(Doc. T94-007) 

Mr. Wolcott then presented for acceptance two External Audit Reports . It was moved, 
seconded and 

VOTED : To recommend that the Board accept the following Reports: 

•WFCR-FM & Friends of WFCR, Inc., FY93 Audited Financial Statements 

(Doc. T94-002) 
•WFCR-FM Management Letter, UMASS Amherst (Doc. T94-003) 



The next item, which was for discussion, was the Interim Report, Survey of Ancillary 
Services, UMASS Worcester. Mr. Stanton commented about this audit and the process which 
was a cooperative venture with the University Auditor's Office and the UMMC Hospital. 

Mr. Wolcott then updated the Committee on the Status of Medical Center Audit Staffing 
and reported that negotiations with an individual are currently ongoing. 

The next item on the agenda was University Audit Status. Mr. Wolcott commented on 
several developments. 

• The Chapter 647 Compliance, University-wide audit conducted by the Office of the State 
Auditor is underway and results will be reported to the Committee. 

• The Sales Tax Audit conducted by the Department of Revenue is continuing and potential 
sales tax liability for telecommunications charges to resident students at UMASS Amherst 
will have a significant impact. 

• The draft Legislated Review of whether the medical center can operate with a smaller state 
subsidy than it received in fiscal year 1993 or become self-supporting has been received 
and is being reviewed. Mr. Stanton reported that the campus administration is working 
with State Auditor's office. 

The Committee then heard from Mr. Robert Elam and Ms. Donna Desmond from Ernst & 
Young about FY93 Audited Financial Statements, the Worcester City Campus Corporation 
Management Letter and other Managem ent Letters related to the Teach ing Hospital, Group 
Practice, Self Insurance Trust and Information Systems . 

In reviewing the Management Letter for the Teaching Hospital, Ms. Desmond highlighted 
some of the comments identified, among them the need to perform an audit on fixed assets and 
issues related to the converting of the new patient accounts receivable system. The attention and 
adequate staffing and training needed to ensure a successful transition to the new system was 
stressed. The management of Workers' Compensation claims and the new state program was 
also discussed. The billing of the actual worker's compensation payment rather than using a 
fixed rate presents opportunities to achieve cost savings by managing the claims. It was noted 
that the University is looking at this on a University-wide basis. Trustee Haynes encouraged this 
effort and the expertise of the Medical Center to assist the other campuses. Also reviewed were 
the information systems control environment. Ms. Desmond identified a number of comments 
dealing with improvements and generally strengthening overall controls of systems. It was the 
general consensus to expend all efforts to ensure appropriate systems are in place. 

She also reviewed with the Committee the Management Letter for the Group Practice Plan, 
and identified several areas that needed continued improvement. 

Mr. Elam then reviewed the Self Insurance Trust Management Letter and recommendations 
contained therein. He also spoke to the Audited Financial Statements for Worcester City 
Campus Corporation and details of the Balance Sheet, the Statement of Operations and 
Statement of Changes in Fund Balances through Tune 30. 1993 . 

It was then moved, seconded and 



VOTED : To recommend that the Board accept the following Reports: 

• Audited Financial Statements for FY93 for the Worcester City Campus 

Corporation (Doc. T94-001) 
•Management Letter for Worcester City Campus Corporation (Doc. T94-011) 
•Teaching Hospital Trust Fund Management Letter (Doc. T94-008), 
•Group Practice Plan Management Letter (Doc. T94-009), 
•Self Insurance Trust Management Letter (Doc. T94-010), 
•Teaching Hospital and Group Practice Plan Information Systems Management 

Letter, UMASS Worcester (Doc. T94-012) 

Chair Haynes then asked for a motion to go into executive session to discuss a draft audit and 
stated that the Committee would not reconvene in open session. 

It was moved, seconded and 

VOTED : To enter Executive Session. 

The time was 10:30 a.m. Chair Haynes voted for the motion. The meeting adjourned at 
10:40 a.m. 



/» 




LuxlLou Of 

<2ynthia A. Fontaine 

Secretary to the Board of Trustees 



-I 

3d 



-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, March 1, 1994; 8:30 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustees O'Leary and Poduska; Mrs. Fontaine, 
Secretary to the Board 

University Administration : President Hooker (via Conference Call); Vice President Lenhardt; Mr. 
Wolcott, Director of Auditing; Ms. Wanczyk, University Controller; Chancellor Penney; Vice Chancellors 
Page, MacCormack, Dars and Goodwin; Deputy Chancellor Stanton < 

Guest: Mr. Gabranski, Coopers & Lybrand 

Chair Haynes convened the meeting at 8:35 a.m. The first item was Audit Reports . 

The first item on the agenda was Campus Response to the Employee Business Expense Audit Mr. 
Wolcott presented this item and Chair Haynes commented that he hoped the University could adhere to 
the policies and secure compliance. The next two external audit reports dealt with Athletic Programs 
and the Outside Booster Organization. UMASS Amherst . Mr. Wolcott explained that these two audits 
were essentially designed to comply with NCAA requirements. There were no items of significant 5 

stature. 



The next item was the Audited Financial Statements for FY93 and Management letter for the 
Student Health Services and Kaiser Perma nente Trust Funds . Mr. Wolcott explained that this audit was 
done under contract with KPMG Peat Marwick and is done every third year. The opinion was 
unqualified and audit and management letter comments were innocuous. Vice Chancellor Page 
responded to the issue of the deficit situation and specifics within the budget related to transfers. Vice 
Chancellor Page indicated that the trust fund budget coming forward to the Board will show changes. 

Mr. John Gabranski from Coopers & Lybrand, then spoke to the Management Letter for the 
University General Purpose Financial Audit for FY93 . He outlined the assessment of internal controls, 
and stated the most critical element is the control environment and the tone set for the University. This 
encompasses the role of the Board of Trustees, the organizational structure, management's philosophy 
and style and methods established for control, monitoring and follow-up on performance. 

With regard to the Accounting System, it must be timely and in sufficient detail to permit proper 
recording and reporting in the financial reports. 

He cited significant improvement in the area of grant management and reporting with respect to 
interim financial reporting. 

Chair Haynes indicated that one of the area of concerns in the past was in the area of timeliness, and 
asked if there were staffing problems or other issues, citing a number of areas within the management 
letter that speak to the area of lack of appropriate resources. 



H 



Mr. Gabranski also spoke to the need to focus on the University system level, including the areas of: 

^Merger considerations/ strategic planning, 

"Strategic planning, 

*Grant management 

*Tax matters and Financial Reporting 

The Committee then reviewed the document distributed by Mr. Gabranski relating to Financial 
Ratios Trend Analysis and Peer Comparisons . The institutions which the University was compared to 
included California, Maryland, Missouri and Nebraska. The Committee spoke about the importance of 
the data included in this document and there was a discussion of the ways to have this information reach 
the different constituencies. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Reports: 

•Employee Business Expense Reimbursement Audit, UMASS Worcester 
(Doc. T94-007, Addendum 1) 

•Department of Athletics and Intramurals (Doc. T94-024) 
•Outside Booster Organization, UMASS Amherst (Doc. T94-025) 

•University Health Services (Student Health and Kaiser Permanente Trust Funds), FY93 

Audited Financial Statements (Doc. T94-026) 
• University Health Services Management Letter, UMASS Amherst (Doc. T94-027) 

•University General Purpose Audit Management Letter (Doc. T94-028) 

Mr. Wolcott then presented the recommendation to extend the audit contract for the Annual 
Financial Audit for FY94 & FY95 . Mr. Wolcott reviewed the process, including campus solicitation. Mr. 
Wolcott noted that the state comptroller has given the University the opportunity to assume 
responsibility for its part of the state's single audit. The total costs for the 1994 and 1995 audits have not 
been determined, primarily due to uncertainties from the single audit work. 

It was agreed to accept the staff recommendation to extend the audit contract with Coopers and 
Lybrand for the University's general purpose financial audit for the fiscal years ending June 30, 1994 and 
June 30, 1995 with the provision that appropriate financial aspects be worked out. 

Mr. Wolcott then noted the development, as requested by the Committee at its last meeting, of 
policies on Mobile Telecommunications and Individual Transaction Funds . He indicated that copies 
have been circulated at the campus level, and that other segments of the University (purchasing and 
controllers) will have an opportunity to review these documents prior to finalization. The Committee 
stressed the need for standard fiscal policies and system-wide integration, noting the uniqueness of each 
campus. 

Mr. Wolcott then reviewed University Auditing Status as outlined in Document T94-029. 

Chair Haynes then asked for a motion to go into Executive Session to investigate charges of criminal 
misconduct or to discuss the filing of criminal complaints and stated that the Committee would not 
reconvene in open session. 

It was moved, seconded and 



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VOTED : To enter executive session. 
The time was 9:45 a.m. Chair Haynes voted for the motion as did Trustees O'Leary and Poduska. 
The meeting adjourned at 10:10 a.m. 

a 





Cyhthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, July 12, 1994; 8:30 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes, Trustee Poduska, Assistant Vice President 
Tuthill 

Committee Members Absent : Trustees Lizana and O'Leary 

University Administration : President Hooker; Chancellor Penney; Vice President Lenhardt; 
General Counsel Kirby; Mr. Wolcott, Director of Auditing; Vice Chancellors Dars, Page, Goodwin 
and McCormack; Deputy Chancellor Stanton 

Chair Haynes convened the meeting at 8:30 a.m. and introduced the first item under the 
University Auditor's Reports, the President's Office Expenditures, FY93. Mr. Wolcott noted 
that this audit had been done at the request of the Audit Committee and the President and 
showed no deficiencies. Another audit will be conducted for FY94. 

The next item was the Follow-Up Audit State Auditor's Report on Body Shops Operations, 
Exercise Science Department, UMASS Amherst . This follow-up audit was conducted to ensure 
that alt*of the corrective actions agreed to in the State Auditor's Report are currently underway. 
Mr. Wolcott reported that there are very few items which haven't yet been undertaken and 
further stated that the cash management has greatly improved. There was also discussion on the 
question of the decentralized management system and the possibility of further centralizing 
operations to ensure compliance. 

The third Auditor's Report was the Follow-up Audit, International Programs Office, 
UMASS Amherst . Mr. Wolcott reminded the Committee that the initial audit of this department 
was delayed due to a fire in that office. As they are operating out of multiple locations, the 
amount of work on this audit has been limited, but should be in full force in September. 

The next item was the Contractual Compliance, Campus Bookstore, UMASS Boston . This 
audit was requested by the former Student Trustee from UMASS Boston. Mr. Wolcott reported 
that the audit reveals some minor processing problems but overall the contract was being 
complied with. The contract is currently being re-bid. 

The fifth Auditor's Report was Federal Indirect Costs Review. UMASS Boston . Mr. Wolcott 
reported that the campus is highly conservative in its reporting on Federal Indirect Costs and 
suggested that they could include more allowable costs in their reporting. 

The next Report was Bursar's Office Automated Check-Writing System Follow-Up Report, 
UMASS Boston . Regarding this audit, Mr. Wolcott said that the implementation of an 
automated system has allowed the campus to generate checks on the campus, thereby 
eliminating the need for excessive cash-in-hand. He said that a particular concern coming out of 
the audit was the under-staffing in the office. Discussion of banking issues on each of the 
campuses and the function of a more centralized treasury followed. Of great cost to the 



University is the distribution of checks to employees as opposed to direct deposits, and more 
employees should be encouraged to have their paychecks directly deposited to their banks. 

The last University Audit Report for action was the State Audit Follow-Up Report and a 
Review of Parking Garage Administration and Control. UMASS Boston. Mr. Wolcott reported 
that the major problem with the garage is the unpaid charges which date many years back and 
the early closure of the garage, after which time drivers are able to exit without paying. The 
campus has kept the garage open later which has improved the payments, and is planning to 
implement an automated system which will improve the control issues, but the question of 
payment and key-cards is not yet resolved. The garage is a self-sufficient entity and receipts pay 
for buses, plowing and repairs. 

It was then moved, seconded and 



VOTED; To recommend that the Board accept the following Auditor's Reports on the 
Consent Agenda of the full Board: 

Audit Report No. 94-8, President's Office Expenditures Audit (Doc. T94-049) 

Audit Report No. 94-9, Follow-Up Audit—State Auditor's Report on Exercise 
Science Department's Body Shop Operations, UMASS Amherst (Doc. T94-047) 

Audit Report No. 94-10, Follow-Up Audit— International Programs Office, 
UMASS Amherst (Doc. T94-048) 

Audit Report No. 94-11, Contractual Compliance, Campus Bookstore, UMASS 
Boston (Doc. T94-052) 

Audit Report No. 94-12, Federal Indirect Costs Review, UMASS Boston (Doc. T94- 
053) 

Audit Report No. 94-13, Bursar's Office Automated Check-Writing System Follow- 
Up Report, UMASS Boston (Doc. T94-069) 

Audit Report No. 94-14, State Audit No. 90-6005-9 Follow-Up Report and Review 
of Parking Garage Administration and Control, UMASS Boston (Doc. T94-070) 



The next item on the agenda was the External Audit Reports, the Intercollegiate Athletic 
Program, NCAA Report and the Intercollegiate Athletics Program Consolidated Statement of 
Revenues and Expenditures, UMASS Lowell. Mr. Wolcott reported and Vice Chancellor 
Goodwin concurred that there are no issues of concern or questions related to these reports or 
this Department. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following External Audit Firm Reports on 
the Consent Agenda of the full Board: 

• Audit Report No. 94-19E, Intercollegiate Athletic Program, UMASS Lowell, NCAA 
Report (Doc. T94-050) 

• Audit Report No. 94-20E, Intercollegiate Athletics Program, UMASS Lowell, 
Consolidated Statement of Revenues and Expenditures (Doc. T94-051) 



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The next item on the agenda was the Audit Contract Approval, and the University Auditor's 
Recommendation for the Annual Audit of Continuing Education, UMASS Boston. Mr. 
Wolcott indicated that the Continuing Education Department requested annual audits and his 
recommendation was that they contract with and pay for an external audit due to the perceived 
risk in the audit as well as the workload of the auditing office. The first year they did a sole- 
source contract with Coopers and Lybrand as a one-year pilot project. The first audit went very 
well and set the guidelines for future needs and allowed a thorough RFP to be developed for 
competitive bid. The recommendation comes from the selection committee. 

It was moved, seconded and VOTED : 

To concur with the recommendation of the University Senior Director for 
Auditing and Fiscal Affairs to select the firm of Daniel Dennis and Co., as the 
independent external auditor for the Annual Audit of Continuing Education, 
UMASS Boston, for fiscal years ending June 30, 1993 and 1994 with options to 
renew for fiscal years ending June 30, 1995, 1996, and 1997. (Doc. T94-067) 

The next item on the agenda was discussion of the Joint Report of the Office of the State 
Auditor and Office of the State Comptroller on the Commonwealth Subsidy to the UMASS 
Worcester Medical Center . President Hooker said that in response to continued concerns from 
the Chairmen of the House and Senate Ways and Means Committees, he is recommending that 
another review be conducted. The State Auditor was not able to provide the detail that was 
missing without contracting with an outside expert consultant. The University will pay for the 
review and will work jointly with the staff of Senate Ways and Means to write the RFP in order to 
ensure that whatever outside firm is engaged, their concerns will be addressed. Chair Haynes 
indicated that the report provides excellent financial information on the Medical Center and 
requested that it be sent to the entire Board. 

The next discussion item was Policy Drafts on Mobile Telecommunications Devices and 
Individual Transaction Funds Control . Mr. Wolcott indicated that the drafts have come to the 
Committee before and had also been considered by the campuses, thus they are presented as 
revised drafts. He hopes to have final versions at the next meeting which would then be brought 
to the Committee on Administration and Finance. Discussion followed regarding the differing 
needs of each campus and whether or not the need for this as a central policy is necessary. The 
policy would be standard for each campus, while the procedures would differ. Mr. Wolcott 
reiterated the importance of this policy as being a means for insuring legitimacy of use and 
widespread understanding of policies and procedures for usage of portable telephones and credit 
cards, and is not intended to force conformance of distribution of these items, purchasing 
procedures or unnecessary procurement control by the Board. Chair Haynes indicated that the 
Director of Auditing should proceed with the policies and that they should be brought back to 
this Committee. 

The last discussion item on the agenda was the University Audit Status Report as of June 24, 
1994 . Mr. Wolcott identified the various audits that his office is currently working on. He 
indicated that the three year audit plan is nearly compiled and urged the Trustees and the 
President, Chancellors and Vice Chancellors to make any audit requests for that plan. The final 
plan will be brought forward for approval by this Committee at the next meeting. 

Mr. Wolcott then noted that the informational item, President's Office Policy and Procedure 
Manual is currently being finalized. 

Chair Haynes then made a motion to ge into Executive Session to discuss possible charges of 
criminal misconduct or complaints and stated that the Committee would not reconvene in open 
session. It was moved, seconded and 



-3- 



VOTED : To enter Executive Session. 

The time was 9:50 a.m. Chair Haynes voted for the motion as did Trustee Poduska. The 
meeting adjourned at 10:15 a.m. 




u 




Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



-4- 



» 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON -DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Monday, August 29, 1994; 8:30 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Ms. DeVico, Staff Assistant 

Committee Members Absent : Trustees Lizana, O'Leary and Poduska 

University Administration : President Hooker; Vice President Lenhardt; First Associate Counsel Bench; 
Mr. Wolcott, Director of Auditing; Vice Chancellors Page, Dars and Goodwin; Deputy Chancellor 
Stanton; Mr. Edwards, Grants and Contracts, UMASS Boston; Ms. Wanczyk, University Controller 

Guests : Mr. Gabranski, Mr. McBride, Mr. Ingram, Mr. Paglia, Coopers & Lybrand 

Chair Haynes convened the meeting at 8:30 a.m. and introduced the first item, a presentation by 
representatives from Coopers & Lybrand, University General Purpose Financial Audit for Fiscal Year 
ended Jun e 30. 1994 and University A-133 Audit for the State Single Audit for Fiscal Year ended June 
30, 1994 . Mr. Gabranski distributed an Audit Scope and Approach Report which outlined the 1994 audit 
approach. Mr. Gabranski's detailed presentation included descriptions of the purposes and approaches 
to be used for the University and A-133 Audits. Mr. Gabranski also covered current accounting issues 
and potential impact on the University. 

Representatives from Coopers and Lybrand then departed. 

The Audit Committee then discussed the University Senior Director for Auditing's request for 
concurrence with the recommendation to select the firm of Coopers & Lybrand to perform the University 
A-133 audit for FY94, based on the existing contract with Coopers & Lybrand for the University General 
Purpose Financial Audit, which has been extended by option to cover FY94. The Auditing Director noted 
that the timing of the State's decision to have the University handle the A-133 audit for FY94 left no time 
to submit the audit to competitive bids, since a report is due in December. After an extensive discussion 
of the A-133 audit, the University's General Purpose Financial Audit and the process of selecting audit 
firms, the Committee voted to concur with the recommendation. Chair Haynes noted his intention to 
require a competitive bid process for the FY95 work. 

It was moved, seconded and 

VOTED : To concur with the recommendation of the University Senior Director for Auditing to 

select the firm of Coopers & Lybrand to perform the University A-133 Audit for FY1994. 
(Doc. T94-083) 



And further, 



To approve the method of charging the costs to the campuses for said audit. 



Mr. Wolcott then briefly described the next agenda items, Policies on Mobile Telecommunications 
Device and Individual Transaction Funds Control . These policies had been reviewed by the campuses 
and modified as needed. It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance approve the Policy on 
Mobile Telecommunications Device as listed in Doc. T94-030. 



And further, 



To approve the Policy on Individual Transaction Funds Control as listed in Doc. T94-031. 



The next item was approval of the University Auditor's Audit Plan for FY95-FY97 . Mr. Wolcott then 
reported on objectives in the plan such as 

•evaluating the University's major systems of internal control; 

•assisting the University's management and Trustees by providing evaluations pertaining to areas 
of concern; 

•having all major non-state funds audited at appropriate intervals or at least every five to seven 
years to verify compliance with policies and procedures and to evaluate efficiency and effectiveness 
of operations; 

•provide external audit coordination and support in order to assure that audits are conducted by 
external auditors: 

—proceed according to University policy; 

—avoid duplication of effort and maximize audit coverage, and 

—ensure that results are appropriately reported and acted upon. 

Mr. Wolcott also reported that there is now a dedicated audit function located at the Medical Center 
with a senior auditor on board. 

As part of that process, there is an audit plan for the Medical Center gathering audit plans from peer 
institutions, analyzing them and drafting a proposal plan for the Medical Center. The biggest single area 
of the Medical Center is system conversion billing and receivables. Chair Haynes then requested a report 
be prepared outlining this project. 

It was moved, seconded and 

VOTED : To approve the University Auditor's Plan for Fiscal Years 1995, 1996 and 1997. (Doc. T94- 
082) 

Mr. Wolcott then presented the Auditing Status Report as of August 12, 1994 including University 
Auditing Operations Summary for Fiscal Year ended June 30. 1994 . 



The Committee adjourned at 9:50 a.m. 



OxyJffA^ (WOAj 



Barbara DeVico 
Staff Assistant 



I 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON EXTERNAL AFFAIRS 

Tuesday, October 18, 1994; 8:00 a.m. 

Board Room 

University of Massachusetts President's Office 

Boston, Massachusetts 

Committee and Committee Staff : Chair Karam; Trustees Finnerty, Flores, Hoff, Morrissey, O'Leary, 
Taylor; Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board 
Relations 

Committee Members Absent : Trustees Foley, Haynes, Lewenberg, Reed, Spence 

University Administration : President Hooker; Chancellors Cressy, Hogan, Lazare, Penney, and Scott; 
General Counsel Kirby; Associate Vice President Lemanski 

Guests: Ms. Griesemer, Deputy Director, Donahue Institute; Mr. Manley, Director, UMASS Economic 
Project. 

Chair Karam convened the meeting at 8:10 a.m. The first item on the agenda was the Academy for 
New Legislators . Vice President Boyd noted that the Academy will be held on the Amherst campus 
November 17-19, and further asked Lynn Griesemer to provide a more detailed report for the Committee. 
Ms. Griesemer noted that this is the first time that the University has had the opportunity to host the 
Academy which is designed jointly with the Legislative Services Bureau, and will help forge relationships 
with new legislators. 

The next item on the agenda was the UMASS Economic Project . Richard Manley is heading up this 
newly created office, and provided an informational update to the Committee, including the 
development of the Project's Board and their efforts to supplement the state's funding for the Project. 
Chair Taylor noted the importance of developing a strategic plan and Mr. Manley said that the advisory 
board will be establishing guidelines. 

The next iten on the agenda was the Update on Student Lobbying . Vice President Kirby informed 
the Committee that the University would be working closely with the Secretary of State and Vice 
Chancellors for Student Affairs to ensure that any student lobbying activities would be within legal 
guidelines. 

The next item on the agenda was the 1995 Legislative Packag e. Vice President Kirby briefly 
reviewed the legislation that is proposed, identifying the three most important as being the Foundation 
Bill, the Worcester City Campus Corporation amendment, and the Building Authority Merger. Though 
the legislative package is not formally approved by the Trustees, Trustees should be kept fully informed 
as to effectively support those critical pieces of legislation. Associate Vice President Lemanski provided 
information on the chronology of the filing of bills as well as strategic directives that are taken to ensure 
the passage of a particularly important bill. Trustee Karam further requested that the President's Office 
prioritize these items and identify a presentation strategy for this Committee at future meetings. 

The next item on the agenda was the FY96 State Budget Request . President Hooker reviewed the 
approach that had been taken for the FY95 budget which proved to be highly successful, noting that this 
year's strategy ought to resemble that approach, particularly with the involvement and leadership of this 



Committee. This year's budget strategy, President Hooker said, will be more difficult given the state's 
fiscal outlook, competing state programs, the University's successful budgets over the past two years, and 
the collective bargaining contracts /salary packages. President Hooker further reminded the Committee 
that the budget that will be submitted to HECC on October 21 is the preliminary request and does not 
necessarily reflect the request that will be made of the Governor or legislature; the proposed 
recommendation to the HECC will be in the area of a $20 million increase which reflects the low-end of 
the Fair Share Funding Task Force recommendation. 

Extensive discussion was held regarding the overall strategy, the possibility of making major changes 
in how the University presents its budget needs, and the importance of providing an appropriate level of 
expectation for all members of the UMASS community and citizens of the Commonwealth. Also 
discussed were some of the structural impediments that the University faces. The University has looked 
closely at making critical adjustments to its structure, making staff and program cuts, and continues to 
look at how to continue to restructure with the PEW Roundtable discussions. The Committee also 
discussed the importance of merging the strategic planning processes with the budget strategy and 
resource analysis. 

It was discussed and proposed that the Chancellors work on significant percentage reallocation in the 
budget/ planning process and have subsequent meetings with the President and the Trustees to identify 
their conclusions. A particularly important strategy to explore is early retirement for University 
employees. 

It was concluded that the first steps for the FY96 budget have been effectively discussed, and, bearing 
in mind the need to keep all groups on the campuses—students, faculty and staff-involved in the process, 
the President and administration should move ahead with the budget request and take up several of the 
suggestions as made and offered by the Committee. 

There being no further business to come before the Committee, the meeting adjourned at 10:00 a.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President for Board Relations 




-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 



Tuesday, November 15, 1994; 8:30 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustees Lizana and Poduska; Ms. Farrell, Assistant 
Vice President for Board Relations 

Committee Members Absent : Trustee O'Leary 

University Administration : President Hooker; Vice President Lenhardt; General Counsel Kirby; Mr. 
Wolcott, Director of Auditing; Vice Chancellors Page, Dars, MacCormack and Goodwin; Deputy 
Chancellor Stanton; Ms. Wanczyk, University Controller 

Guests : Mr. Gabranski, Coopers & Lybrand; Mr. Elam, Ernst & Young 

Chair Haynes convened the meeting at 8:35 a.m. and introduced the first item under External Audit 
Reports, the University of Massachusetts Audited Financial Statements for FY94 . Mr. Gabranski noted 
that Coopers gave the audit an unqualified opinion. Mr. Gabranski then reviewed in detail the essential 
highlights of the balance sheet. Ms. Wanczyk reviewed the operating statements and indicated that the 
University, for the first time, had an actual deficit of $12 million. Chair Haynes indicated concern for both 
the Amherst and Dartmouth campuses fiscal situation asking if it were possible to have more regular 
reports to keep the Trustees better informed and knowledgeable of campus spending plans. President 
Hooker indicated that his office had requested spending plans from the campuses. Ms. Wanczyk offered 
an analysis on the interim quarterly reports from each campus, noting that the campuses are all at 25% of 
budget. Further, the issue of the University's decentralized budgeting system, the adequacy of the fiscal 
controls, and responsible spending was discussed. The trend analysis over the fiscal years 92-94 was also 
reviewed. Chair Haynes reiterated the importance of the discussion regarding budgets, the University's 
direction and policies and reporting procedures relative to each campus' situation, particularly with the 
Administration and Finance Committee. Mr. Gabranski then reviewed the Required Letter of 
Communication. It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance approve the 
University of Massachusetts Audited Financial Statements, FY94 (Doc. T94-113). 

Ms. Wanczyk thanked the financial staff members from the campuses for finishing their reports 
ahead of schedule and on time, particularly given the increased sophisticated reporting procedures. 
Chair Haynes commended the staffs. 

Representatives from Coopers and Lybrand then departed. 

The Audit Committee then heard from Mr. Robert Elam from Ernst & Young, reporting on the 
UMASS Worcester clinical activity financial statements, and began by noting particular items on the 
Required Letter of Communications. Mr. Elam then reviewed in extensive detail the Teaching Hospital 
Trust Fund. FY94 Audited Financial Statements . Group Practice Flan. FY94 Audited Financial 
Statements , and Self-Insurance Trust, FY94 Audited Financial Statements . Highlights from each report 



were discussed. Mr. Stanton indicated that the first meeting of the new Clinical Management Board is on 
Thursday, November 17. It was moved, seconded and 

VOTED : To recommend that the Board accept the following Audit Reports on the Board Consent 
Agenda: 

• Teaching Hospital Trust Fund, FY94 Audited Financial Statements (Doc. T94-105) 

• Group Practice Plan, FY94 Audited Financial Statements (Doc. T94-106) 

• Self-Insurance Trust, FY94 Audited Financial Statements (Doc. T94-107) 

The next item was approval of the University Auditor's Audit Report, State Single Audit Follow- 
up. IJMASS Dartmouth and UMASS Lowell . Mr. Wolcott then reported that the Lowell and Dartmouth 
campuses had taken all recommended corrective actions in response to the state single audit, and that the 
Auditor's Office has received extensive information backing these actions. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Audit Report on the Board Consent 
Agenda: 

University Auditor's Audit Report, State Single Audit Follow-Up, UMASS Dartmouth 
and UMASS Lowell Agenda. (Doc. T94-109). 

Mr. Wolcott then presented the University Audit Status as of October 28, 1994 . Chair Haynes 
indicated concern on behalf of the Committee regarding the works in progress, and the staffing needs of 
the office for priority items. Mr. Wolcott indicated that there are several critical areas that the office is 
currently focusing on. 

Chair Haynes reasserted his interest in having interim reports from the campuses that indicate 
economic distress and deficit situations, and the need to present it as a policy issue to the Committee on 
Administration and Finance. 

The Committee adjourned at 10:30 a.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President, Board Relations 



-2- 



♦ 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON EXTERNAL AFFAIRS 

Thursday, December 22, 1994; 7:30 a.m. 

Rare Books Room 

University of Massachusetts Medical School 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Karam; Trustees Flores, Foley, Lewenberg, Spence; Chair Taylor; 
Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Hoff, Haynes, Morrissey, O'Leary, Reed 

University Administration : President Hooker; Chancellors Scott, Penney, Hogan and Lazare; Vice 
President Lenhardt; Vice President Chmura; Associate Vice President Lemanski 

Chair Karam convened the meeting at 7:40 a.m. The first item for discussion was the FY1996 State 
Budg et. President Hooker informed the Committee of communications with the Executive Offices. 
Further discussion regarding strategy for preparing the state budget was held. The President indicated 
that he would work with his staff and the Chancellors to present a strategy to this Committee. 

The meeting adjourned at 9:10 a.m. 



£uivtiiia^^ 



Elizabeth H. Tu thill Farrell 

Assistant Vice President for Board Relations 



♦ 



D 



♦ 



• 



w 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, February 1, 1994; 3:30 pan. 

Chancellor's Conference Room 

Quinn Administration Building 

University of Massachusetts 

Boston, Massachusetts 

Committee and Comm ittee Staff: Chair Taylor; Trustees Finnerty, Foley, Haynes, Karam, Lewenberg, 
McNeil, Spence and Tobin; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent : Trustees DiCara and Robertson 

Other Trustees : Trustees Cunningham, Flores, Hoff, Oakes, Siegmann and Poduska 

University Administration : President Hooker; Vice Presidents Boyd, Chmura, Lenhardt, Sessoms and 
Story; General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Chair Taylor convened the meeting at 3:45 p.m. Before proceeding with the formal agenda, the Chair 
called on Chancellor Penney to update the Board on the current situation at the Boston campus. 

Chancellor Penney first thanked Chair Taylor and President Hooker for spending the day before at 
the campus with the consultants, staff from the Department of Health and Hospitals and the Fire 
Department reviewing the best way to proceed with the reopening of the campus that has been closed 
due to health complaints by staff and faculty members. 

She then reported the following: 

•Based on monitoring results by Arthur Little and Briggs Associations, the faculty and staff may re- 
occupy the campus buildings tomorrow; 

•An industrial hygienist will be on-site during occupation by faculty and staff to monitor the 
situation; 

•Boston Emergency Medical Services will maintain a staff person on-site for at least two days and 
with UMASS Boston health care providers will monitor the type and frequency of any health complaints; 

•The Boston Fire Department will maintain personnel on-site to monitor and evaluate any 
complaints. The campus shall vacate any building upon receiving an order to vacate from the Fire 
Department, the Office of Environmental Health, or Emergency Medical Services; 

•UMASS Boston will remove a couch and stripping chemicals from the College Supply room. 

•The campus will submit a written preliminary report of results and analysis to date and its proposal 
evaluating the landfill gas, sewage gas, and HVAC Control systems; 

•Upon review of the requested report, receipt of analyses results, and review of the results of re- 
occupancy by faculty and staff, a determination will be made regarding re-occupation of students. 



Chancellor Penney then informed the Committee that there will be a phased re-opening to ensure 
that faculty and staff are fully informed about all the incidents and plan for a full opening with students 
on Monday depending on further discussions with the Department of Health and Hospitals. She also 
acknowledged the Chairman and President's authorization of $150,000 from Trustee Reserve for 
additional studies and testing. 

Vice Chancellor MacCormack then introduced the consultants from Arthur D. Little and Briggs 
Associates and talked about the tests that had been conducted throughout the campus that had not 
shown any contaminants beyond the normal range. There were three areas in the Administration 
building that had incidents and shown higher level of contaminates. It was discovered that an employee 
had been refinishing a piece of furniture in an unauthorized area under a vent which was consistent with 
the chemicals found there. The other buildings had not yet had identified foreign substances but were 
still being tested. The consultants also looked at the possibility of gas from land fill the campus had been 
built on. 

There was then discussion with members of the Committee and faculty members concerning 
assurances that the campus will not fully open until all tests and analysis's have been completed. It was 
suggested that the air quality on campus continue to be tested in the future as there have always been 
problems reported on campus concerning ventilation. 

The next item was the Hospital Management Board Minutes . Trustee Foley reported that the 
Hospital Management Board has implemented a policy review all contracts over $100,000. It was moved, 
seconded and 

VOTED : To recommend that the Board approve the minutes of the November 17, 1993 Hospital 
Management Board meeting including the Unaudited Financial Statement for October, 
1993. (Doc. T94-022) 

President Hooker then asked the Chancellors to report on their Fundraising activities. 

Chancellor Scott reported that the Amherst campus has exceeded the national average in the past few 
years and that total private support over the last five years increased by 50%. For fiscal year 1994, the 
private support goal was $14.5 million. The formal beginning of a capital campaign will begin next week 
with meetings of Deans, Vice Chancellors and the consultant firm to ask the major budgetary units to 
identify their priorities in the capital campaign. In preparation for that comprehensive capital campaign, 
several initiatives have been tuned up, one in polymer science and engineering which has an $8 million 
goal and another one in food science, which has a $1 million goal. There are also plans for a new alumni 
center. Also, in the last two years the number of alumni clubs has doubled and the plan is to double these 
again to total thirty-four alumni clubs in all. 

Trustee Oakes inquired about the per capita giving from alumni and how it compares to other 
comparable universities. Chancellor Scott reported that approximately $30 and $100 is the present rule of 
thumb. It was pointed out that there needs to be more ambitious goals. Chancellor Scott responded that 
the campus will be meeting with Alumni groups all over the country to increase the numbers. The issue 
of staffing and funding was brought up and it was pointed out that staffing is at one-half of what 
universities of this type would be to run a capital campaign. 

There was then discussion regarding the capital campaign for Hadley farm. It is now being 
reassessed and will be built into the current capital campaign. 

There was then an inquiry about the impact the athletic programs had on fundraising, particularly 
the basketball program. In Amherst, given the enthusiasm generated across the Commonwealth and the 
country with the basketball program it will have a significant affect, particularly in athletics. 



-2- 



• 



Vice Chair Karam then reported that this subject will be an agenda item on a regular basis on the 
External Affairs Committee. 

Trustee Oakes reiterated that this is a very important topic and that 4 to 5 years ago, the University 
spent alot of money mounting a capital campaign. 

Chancellor Cressy spoke about the strong alumni and faculty participation in development at 
UMASS Dartmouth. For the past three years the annual fund has raised $173,000 on average, per year. 
He went on to inform the Committee that his highest priority upon taking office was to restructure the 
development office, with two major grants in place. The Dartmouth campus has made considerable 
progress in new scholarship grants and are using the opportunity of the upcoming Centennial to make 
initial contact with possible donors and have identified a possible $1 million donor. The campus is also in 
contact with a major textile association which has taken on the goal of raising $2 million over the next 
couple of years. 

Chancellor Hogan began his report with information about the annual operating fund which starts in 
the Fall. Four years ago this brought in a return of 1/4 million and last year the figure was about 1/2 
million dollars. The total investment in the development office is about $750 thousand dollars. The 
Centennial will start, with two events planned over a two year period, one is a centennial scholarship 
fund to raise $2 million for scholarly activity. The first commitment of $100,000 came today. Also tied to 
the celebration will be a capital equipment campaign targeted at $15 million, with hopes to build new 
classrooms to impact quality of teaching and modernizing the libraries . 

He also spoke of the decision to build a new arena and whether it is built with the city or on our own 
The campus will conduct a campaign to increase amenities in the building, above what we can afford on 
borrowed money. 

Chancellor Lazare reported that total giving over the past several years has risen steadily in particular 
to the Children's Medical Center and the Cancer Center. 

Chancellor Penney distributed a report and briefed the Committee on the campus' efforts to work 
with alumni in fundraising projects. Money has been raised to have discretionary funds put in place for 
development programs to give grants to faculty and staff for research projects. There was also talk of 
reviving an alumni newsletter but in the mean time, the Chancellor has sent out a letter to alumni each 
semester. 

The next item on the agenda was an Update on Strategic Planning . Vice President Boyd, who is 
coordinating the strategic planning effort, reported that there are many strategic planning activities in 
progress, including the work of the task forces and the report card to the Legislature. 

He then informed the Committee that he will be meeting with campus chancellors to engage in the 
process of a plan. Major elements of such a plan should have a statement of the University's broad level 
of vision of what the 21st century university will be and defined mission, goals and objectives, and plans 
to achieve and respond to the three priorities identified. One of the keys to the future of the University is 
in the area of greater private sector support. This needs to be incorporated into the plan as well as 
addressing the role continuing education has in the University and similarly the use of technology in the 
University. 

There was then discussion concerning the availability of resources needed to implement the goals and 
objectives of the strategic plans on each of the campuses. It was suggested that the Chancellors plan like 
there will be no increases in the next five years. 



-3- 



Chair Taylor added that the challenge is to plan for what we know we can do and not lose the 
opportunity to generate more funds. It is believed that the plan and the process will show the University 
how to do that. 

Due to the lateness of the day, President Hooker suggested the Committee hear the campus' reports 
as to where they are with respect to their individual campus priorities at the next meeting. 

The last item on the agenda was Executive Session . Chair Taylor called for a motion to go into 
executive session to consider the purchase, exchange, lease and value of real property. At 5:25 p.m., it 
was moved, seconded and 

VOTED : To go into Executive Session. 

Chair Taylor voted for the motion as did Trustees Finnerty, Foley, Haynes, Karam, Lewenberg, 
McNeil, Spence and Tobin. 

The meeting adjourned at 6:15 p.m. 



feaJWUAC^ ^l^toif 



Barbara DeVico 
Staff Assistant 



I 



I 



i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, April 5, 1994; 3:00 pan. 

Board Room 

University of Massachusetts 

Old Westport Road 

Boston, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty, Foley, Haynes, Lewenberg, 
McNeil, Poduska, Spence and Tobin; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent : Trustees Karam and Robertson 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
Vice Presidents Boyd, Chmura, Lenhardt, Sessoms and Story; Ms. Kirby, General Counsel 

The meeting convened at 3:10 p.m. The first item on the agenda was Amendments to the By-Laws . 
Chair Taylor reported that these amendments include a Consent Agenda for the Board meeting and an 
amendment to the agenda of Committee meetings to allow public participation. Each Committee, as a 
standing final item on its agenda, would have a segment of fifteen minutes at which time anyone who 
had requested to speak to the Committee could do so for no more than three minutes. 

After discussion the motion was amended in Article III, Section 4, (b). An individual speaker is 
allowed, at the pleasure of the Chair, It was moved, seconded and 

VOTED : To recommend that the Board approve the following amendments to the By-Laws of the 
Board of Trustees of the University of Massachusetts (Doc. T91-100): 

Article II, Meetings of the Board, is hereby amended by inserting after Section 3 the 
following: 

Section 4. Consent Agenda 

By a vote of a majority of Trustees present at any Committee meeting, action item(s) may 
be placed on a consent agenda for regular Board meetings. Any item so designated as a 
consent agenda item by the Committee shall be so designated in the agenda of a regular 
Board meeting mailed to the Board of Trustees. Unless any member objects to the 
inclusion of an item on the consent agenda by notifying the President at least twenty-four 
hours before the Board meeting, all items designated as a consent agenda item in the 
agenda shall be included in the consent agenda for approval by a single vote by the 
Board of Trustees without discussion of individual items. 

Article III, Committees of the Board, is hereby amended by inserting after subsection (a) 
the following: 

Section 4 

(b) Each Committee, as a standing agenda item, shall reserve fifteen (15) minutes for 
public participation. Individuals seeking to speak to a Committee should so inform the 
Trustees' Office in writing, setting forth the purpose for which they seek to speak, at least 
twenty-four (24) hours before the relevant meeting. Generally, the subject should be 



related to an item on the meeting agenda. An individual speaker is allowed, at the 
pleasure of the Chair, a maximum of three (3) minutes for his/her presentation which 
may be supplemented by written material. 

The next item was a discussion on Strategic Planning . Chancellor Hogan began his report discussing 
the Lowell campus's process of reorganizing the operating structure. When completed, there will be three 
Councils for each of the three strategic priorities: 1) Council for Industrial Development; 2) Council for 
Teaching and Learning; and 3) Council for Diversity and Multiculturalism. Each Council will have a 
faculty/staff oriented organization. The Council for Industrial Development was the first to be formed 
and has been operating for about one year. The other two Councils will be completed by this semester 
and functioning by next semester. 

He then reported that the System Task Force on Diversity and Pluralism will be presenting its report 
in four parts. The first three parts are focused on a strategy which will simultaneously improve civility 
on the campuses, engage campuses in a long-term commitment to Diversity and changing for the better. 
The fourth and last part of the report develops a strategy for uniting the University and the larger 
community by focusing on public concerns in K-12 public education, economic well-being and adult or 
Life-Long Learning/Training/Retraining. 

Chancellor Cressy began his report with the System Task Force on Teaching and Learning. The most 
important function has been the business of reaffirming that teaching and learning is fundamental for 
Commonwealth students and emphasizing the importance of the new technology. He also discussed the 
University/Community partnerships with K-12 and the economic impact on education. 

He then discussed strategic planning at UMASS Dartmouth which includes seeking support to 
implement recommendations from the 1993 Report on the Academic Planning Task Force which included 
increasing graduate enrollments by 20% per year, and strengthening the role in preparation and 
professional development through programs to meet new state teacher certification standards. 

Chancellor Scott discussed the report of the System Task Force on Faculty Roles and Rewards that 
must steer in the direction that emerges from the other five system task forces, such as the quality of three 
areas of the mission, Teaching, Research and Services. Emphasis should also be placed on scholarship in 
all three areas. The criteria for promotion and tenure should be reviewed on each campus and the idea of 
rewarding departments as well as individuals is gaining support. 

Regarding the Amherst campus strategic plan, there were a series of task forces and working groups 
set-up to mirror the six task forces on the system level. These task forces and working groups are 
assessing demands on the campus by constituents, assessing capacity of the campus to meet those 
demands and planning strategic directions that will indicate the opportunities to pursue and the 
vulnerabilities the campus will move to overcome. A resource plan will also be established consistent 
with the campus's strategic directions. 

Chancellor Penney then discussed recommendations for making UMASS a leader in economic 
development as part of her System Task Force Report. She also reported that a calendar for review of 
policies, legal and organizational obstacles to economic development is being developed and will also 
include issues such as faculty rewards, policies affecting industrial relations and better policies for 
technology transfers. 

Chancellor Penney next reported on strategic priorities for UMASS Boston. The Center for 
Improvement of Teaching continues to sponsor seminars to promote pedagogical teaching techniques. 
There has also been $15,000 provided for three $5,000 grants to support projects directed to improving the 
quality of undergraduate education. A Civility Committee has been formed to respond to incidents on 
the campus and an urban cabinet has been established to sustain linkages with an array of urban 
constituents. 



-2- 



♦ 



I 



♦ 



Chancellor Lazare reported on the System Task Force in Public Service. This Task Force has come up 
with four primary objectives: 1) to enhance the public good and the quality of life in our communities; 2) 
to serve as a moral example for students, faculty and staff; 3) to inform and define the academic mission; 
and 4) to enhance public support for the University. He discussed these different categories of public 
service and several recommendations, including the elevating of public service as a major goal of the 
University. 

He then reported that a strategic planning report for research at UMASS Worcester had been 
completed on September of 1991. During the past year, the three recommendations of that plan have 
been achieved, including the creation of the position of Vice Chancellor for Research, the establishment of 
a technology transfer office and a new office of development. There has also been a change in the clinical 
governance in the Medial Center which is now in the execution phase. A strategic planning process for 
diversity is also in process and measurements for success will be the increase in underrepresented 
minorities at the student, staff and faculty level. 

Vice President Story then reported on the System Task Force on Research Graduate Education which 
has completed its work and is being looked at on the campus level. Several recommendations were 
identified including full-time tenure- track faculty should be engaged in creation and dissemination of 
new knowledge to original research and scholarship, and that deans and provosts should explore 
methods of rewarding outstanding research programs and departments. The Task Force also 
recommended a pro-active presence in Washington D.C., full implementation of the five campus library 
technology proposal, and the establishment of a special task force with full faculty participation to study 
and make recommendations on University policy regarding a whole series of issues concerning electronic 
information. 

The Faculty Representatives then gave their views on the Task Force Reports. 

Vice President Boyd then reported that the next phase will be discussion of measurable goals and 
indicators which will be available at the next meeting. The next step will be the creation of a working 
group to look at the goals to see if we can develop a common format of issues we should be working on. 

There was then a general discussion about how economic development directly involves the 
functioning of the University. 

Chair Taylor then asked President Hooker to bring the Committee up to date on Chancellor Penney's 
Evaluation . President Hooker reported that though the process had not been met favorably, he was 
pleased with the amount of input and had spoken with Chancellor Penney about areas for improvement. 
Professor Watanabe, the faculty representative from Boston then reported that the faculty, through its 
governance bodies, passed a motion stating that the process had been flawed and there should have been 
an alternative process. He said further that the faculty council is in the process of sending a questionnaire 
to all faculty members following Trustee guidelines asking the faculty to rate the Chancellor and will be 
presented to the Board at a later date. 

Chair Taylor then reported that Trustee Bok has agreed to serve as a liaison between the President's 
Office and the Trustees studying the many issues facing UMASS Lowell. 

The next item was A pproval of the Hospital Management Board Minutes . It was moved, seconded 
and 

VOTED : To recommend that the Board approve the minutes of the December 16, 1993 and January 
26, 1994, Hospital Management Board meetings including the Unaudited Financial 
Statements for November and December, 1993, and the proposed appointments and 
reappointments for November, 1993. 



-3- 



And further, 

To approve the Finance Committee's recommendation that the Policy for Consultant 
Contracts require Administration to inform the Finance Committee and Board of 
contracts for professional services exceeding $100,000. This requirement is an annexation 
of the Trustee policy Document T92-031, entitled "Policy for Management of University 
Funds" as it pertains to the Teaching Hospital. (Doc. T94-043) 

The next item was a Delegation of Authority to Laslo Boyd, Vice President for University Relations 
and Secretary to the Board, as Certifying Officer of the University . It was moved, seconded and 

VOTED : To recommend that the Board appoint Laslo Boyd, Vice President for University 
Relations and Secretary to the Board of Trustees, Certifying Officer of the University; 
further, to appoint Elizabeth Tuthill, Assistant Vice President for Board Relations, as 
Certifying Officer in the absence of the Vice President/Secretary. (Doc. T94-044) 

The next item was a Delegation of Authority to the Committee on Personnel and Diversity . As part 
of Trustee policy, certain faculty within the University have a right to seek a hearing with the Board. The 
General Counsel is in the process of updating this policy allowing the President and his staff to decide if 
certain personnel issues need to come before the Board. In the meantime, these matters need to be 
reported to the Board. 

Chair Taylor therefore appointed an Ad Hoc Committee on Personnel and Diversity, Chaired by 
Trustee Reed to look at such matters until a policy is written which will report to the Committee on 
Administration and Finance. He also mentioned that a personnel case may be coming to the Board and 
this Committee would deal with that case. It was moved, seconded and 

VOTED : To recommend that the Board delegate to the Ad Hoc Committee on Personnel and 
Diversity the authority to conduct hearings, make findings and decisions, and, where 
appropriate, to make recommendations to the full Board regarding terminations, 
suspensions, or other individual personnel actions whenever a hearing by the Board of 
Trustees or a committee thereof is required by Board policy or by law. 

Chair Taylor then called for a motion to enter Executive Session to discuss Honorary Degrees and 
Collective Bargaining issues. It was moved, seconded and 

VOTED : To enter Executive Session. 

The time was 5:00 p.m. Chair Taylor voted for the motion as did Trustees DiCara, Finnerty, Foley, 
Haynes, Lewenberg, McNeil and Spence. 

At 6:00 p.m. the Committee came out of Executive Session and it was moved, seconded and 

VOTED : To recommend that the Board award honorary degrees to those individuals agreed upon 
in Executive Session and to instruct the Chancellors to proceed with the necessary 
arrangements. 

And further, 

VOTED : To table consideration of the Workforce Redesign Policy and to consider it 
after review and recommendation by the Committee on Administration and 
Finance. 



-4- 



f Trustee Siegmann then asked that President Hooker come to the Boston campus and talk to the 

students about lobbvincr lfKrislators rp^ardirny the Budcrpf. 



students about lobbying legislators regarding the Budget. 
The meeting adjourned at 6:15 p.m. 




r 




Barbara DeVico 
Staff Assistant 



I 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, June 7, 1994; 3:00 p.m. 

Board Room 

University of Massachusetts 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees DiCara, Haynes, Lewenberg, McNeil, Poduska 
and Tobin; Vice President/Secretary to the Board Boyd; Ms. Tuthill, Assistant Vice President for Board 
Relations 

Committee Members Absent : Trustees Finnerty, Foley, Karam, Robertson and Spence 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
Vice Presidents Chmura, Lenhardt and Sessoms; General Counsel Kirby 

The meeting convened at 3:10 p.m. Trustee Reed gave the Report of the Personnel and Diversity 
Subcommittee which had met today and on May 4th. The first item on the agenda was the Affirmative 
Action Plans and Reporting Format . The Subcommittee had agreed that the Affirmative Action Plans 
would come before the Board every three years with annual updates provided as outlined in the 
document. The Committee had also discussed funding diversity initiatives across the campuses. 

Trustee Reed also reported that at the next meeting of Personnel and Diversity, the Committee would 
look in depth at the Amherst campus Affirmative Action Plan. Trustee Haynes then commended Trustee 
Reed for her work in this area. There was discussion about the positive work being done on the 
campuses in the area of diversity including the Diversity Conference held on the Amherst campus last 
year. Trustee Siegmann then asked that in the future as Affirmative Action plans are reviewed, attention 
should be given to the numbers of minorities and women in each academic department. 

Chair Taylor mentioned the importance of such events as the Black Scholars of New England Dinner. 
Trustee Reed stated that there was more work to be done and expects some recommendations concerning 
these issues for the August meeting. It was moved, seconded and 

VOTED : To recommend that the Board approve the Affirmative Action Plans for the University of 
Massachusetts Amherst, Boston, Dartmouth, Lowell and Worcester campuses as contained 
in Doc. T94-046. 

And further, 

To recommend that the Board approve the Affirmative Action Reporting Format as 
described in Doc. T94-054. 

The next item was Waiver of Student Trustee Election Policy. UMASS Worcester . The current 
policy for Student Trustee elections states that the election must take place by May 1st. Due to the 
schedule under which the Medical School functions, this year's election was held after that date. 
Chancellor Lazare assured the Committee that future elections will be held in compliance with current 
policy. It was moved, seconded and 



VOTED : To recommend that the Board waive the Student Trustee Election Policy deadline date 

listed in Doc. T91-133B at the University of Massachusetts Worcester campus for the 1994 
election. 

The next item was Amendments to the Worcester City Campus (WCCC) Articles of Organization . 
These amendments will allow the Corporation to achieve tax-exempt status with the Internal Revenue 
Service. It was moved, seconded and 

VOTED : To recommend that the Board approve the amendments to the Worcester City Campus 
Corporation (WCCC) Articles of Organization listed in Doc. T91-121, Addendum III. 

The next item was A pproval of the Hospital Management Board Minutes . Chancellor Lazare 
reported that alot of time is being spent monitoring the status of the Hospital, including discussions with 
Mr. George McClelland, Chair of the Hospital Management Board Finance Committee. 

Chair Taylor then inquired about the status of Personnel Policies on the Worcester campus. Deputy 
Chancellor Stanton reported that they are able to operate under existing University policies. Trustee 
Haynes then informed the Committee of the restructuring issues going on at Worcester and has requested 
the Management Office to provide Board members with a concise executive summary of the issues for the 
next meeting. 

It was then moved, seconded and 

VOTED : To recommend that the Board approve the minutes of the March 23rd and April 27th, 
1994 Hospital Management Board meetings including the Unaudited Financial 
Statements for January, February and March, 1994 and the appointments and 
reappointments for February and March, 1994. (Doc. T94-066) 

The next item for discussion was an Update on Strategic Planning, specifically in the area of Goals 
and Indicators. Vice President Boyd reported that there are many planning activities going on at the 
campuses at many different stages. He then described the strategic plan as the starting point for the 
Board to discuss next Fall that will give specifics for policy choices and a frame of reference for the 
direction of the University system. 

Some of the issues that will need to be looked at as system-wide goals include telecommunications 
and use of distance learning, the current tuition policy, resource alternatives and reallocations of funds. 
Also discussed was the status of collaborative efforts among the campuses and the University's mission 
and priorities. 

After a request to the Faculty Representatives for their views of the subject, Chancellor Cressy 
introduced the new Representative from UMASS Dartmouth, Professor John Carroll who emphasized the 
need to make a better case with the Legislature and ensuring financial access to all potential students. 

There was then discussion about the campus planning process and the need for some principles that 
will allow the University to make decisions as far as reallocation of funds, the future and potential 
restructuring of programs at each of the campuses, increasing the efficiency in educating our students 
and increasing enrollments. 

There was also a discussion of the importance of the University's marketing efforts which could help 
to increase enrollments and public support for the University. 



-2- 



After the Committee members expressed their enthusiasm for action on the strategic plan in October, 
the meeting adjourned at 5:00 p.m. 



iWL-lfr 



Barbara DeVico 
Staff Assistant 



-3- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE JOINT MEETING OF THE 
EXTERNAL AFFAIRS AND EXECUTIVE COMMITTEE 

Tuesday, August 9, 1994; 3:00 p.m. 

Board Room, Cumnock Hall 

University of Massachusetts Lowell 

Lowell, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees DiCara, Flores, Haynes, Hoff, Lewenberg, 
Spence; Vice President/Secretary to the Board Boyd; Ms. Tuthill, Assistant Vice President for Board 
Relations 

Committee Members Absent : Trustees Finnerty and Foley 

Other Trustees : Trustees Bogan, Bok, Lizana and Purdy 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
General Counsel Kirby 

The meeting convened at 3:10 p.m. The first item for discussion under the External Affairs 
Committee agenda was the FY1995 State Budget Update . President Hooker reported that the state 
budget provided an increase of $15 million for the 1995 budget which was the result of the extensive 
work of the External Affairs Committee, the administration, and the students. He then turned to the 
UMASS Amherst SGA President Mirran Raphaely and student leader of SCERA, Lynn Robittaille. Both 
students offered their perspective on the importance of their role in the effort to making the case for 
UMASS to the legislature and described the strategy they used in working with their peers and the 
University administration and Trustees to achieve a successful budget. Further, they hope to coordinate 
their efforts with students from the other campuses to a greater extent for the next budget. President 
Hooker went on to identify the results of the Fair Share Funding Task Force and to say that this is part of 
the areas of consideration going into next year's budget strategy. 

The next item was the Status of Development Programs . Chair Taylor asked Vice President Boyd to 
introduce this item. Mr. Boyd reminded the Committee of the importance of development and noted 
that each member had received the first university- wide report on development which took extensive 
sharing of technology and research information. He further said that the Committee's area of focus 
should be on particular fundraising goals, the purpose of raising funds, the timeline and the building of 
the infrastructure. The intent is to provide quarterly reports to this Committee. Mr. Boyd then asked 
each Chancellor to report on their development efforts over the past year, their goals for the coming year 
and describe where their campus stands in terms of a heightened effort for fundraising that will be 
implemented in the coming months. Each Chancellor briefly described their program, and Chair Taylor 
requested that, in the interest of time, each campus briefly address each area of concern identified by Vice 
President Boyd, and at upcoming meetings each campus could be looked at more in-depth. Each campus 
identified particular goals in line with their campus plans, and all campuses noted that the need to build 
their development staff is a critical part of gearing up for a major University campaign. 

There was extensive discussion regarding specific details of the fundraising efforts, in particular the 
involvement of faculty, staff and students. Vice President Boyd, in response to a question regarding 
norms for faculty, student and trustee giving, said that he would get detailed information so that the 
Trustees can compare the national norms with campus activity. Another very important area where the 
campuses were urged to move expeditiously was the area of research so that pieces are in place for the 



capital campaign. Vice President Boyd reiterated the importance of this information coming to this 
Committee. He further noted that the UMASS Foundation had moved to 10 Tremont Street and 
identified the two major goals for the Foundation as being a support resource for the campuses and 
restructuring the Foundation Board to function as a fundraising board. 

Vice President Tom Chmura then provided an Update on Economic Development by pointing out 
the particular projects that have been of priority to the economic development offices. He further 
announced that Richard Manley has started as the Director of the Massachusetts Economic Project which 
was approved in the FY95 state budget and is underway. The other area that they are focusing on is 
environmental technology and there will be a conference on this subject sponsored by UMASS and held 
at the Lowell campus in October. Mr. Chmura announced that the office of technology transfer at 
UMASS Worcester has been established with Joseph McGuirle as its director who has already made a 
great start in that area. He then pointed out some of the areas in the Measurable Goals and Indicators 
that are in the packets of information. Chair Taylor reiterated the importance of the goals and indicators 
and that the quantifiable information is a very effective way for the Trustees to understand the trends. 
Also critical is the specificity of the indicators and timelines. 

General Counsel Kirby then discussed Technology Transfer project, noting that they are looking at 
policies and the organizational structure as well as guidelines for the establishment of an office. The 
Committee would have a full policy report for the December meeting after the draft policy is fully vetted 
on the campuses. It was also suggested that other offices at universities that have established this type of 
policy be used for consultation, which Ms. Kirby said they are currently doing. 

Chair Taylor then suggested that, in the interest of time, the discussion item Update on Federal 
Relations be reintroduced at a later meeting. 

The first action item under the Executive Committee agenda was Amendments to the By-Laws . 
Chair Taylor informed the Committee that these changes will bring the By-Laws in line with the current 
practice of the Board, as well as clarify specific areas of activity for each Committee. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the following amendments to the By-Laws of the 
Board of Trustees of the University of Massachusetts (Doc. T91-100): 

Article II, Meetings of the Board, is hereby amended by the following: 

Section 2. Notice 

(b) by striking the word three and inserting the word two. 

Section 4. Consent Agenda 

By striking the word Trustee in the first sentence and inserting the words Committee 

members; 

By striking the word member in the third sentence and inserting the word Trustee. 

Section 6. Order of Business 

By striking V. Committee of the whole and inserting the words Consent Agenda; 
By striking VI. Reports of Special Committees; 
By striking VII. Status of Pending Matters. 

Section 7. Executive Sessions 

(a) By striking the words in advance of the meeting in the second sentence and inserting 

the words before the executive session. 



-2- 



Article III. Committees of the Board, is hereby amended by the following: 

Section 2. Members of the Standing Committees 

(c) By adding the word voting before member ex officio. . . 

Section 3. Committee Meetings 

(d) By striking the word Joint Meetings and inserting Assignment of Agenda Items/Joint 
Meetings. 

Section 4. Agenda of Committee Meetings. 

By adding the word the in the fourth paragraph after the word By and before President. 

Section 5. Responsibilities of Standing Committees 

By striking said Section and replacing it with the following: 

The Chair may appoint sub-committee(s) of any standing committee to assist the full 
committee in carrying out its duties and responsibilities. Said sub-committees shall be 
assigned to a full standing committee. 

(a) The Executive Committee shall have the responsibility of considering, reviewing, and 
making recommendations to the full Board on matters affecting the Board, the University 
and its general administration including but not limited to: 

i. appointment of the President and concurrence in the President's appointment of 

Chancellors; 

ii. honorary degree candidates; 

iii. master plans of the University and recognition of governance bodies; 

iv. any other matters which the Chair or the President with the approval of the 

Chair wishes the committee to consider. 

(b) The Committee on Academic and Student Affairs shall have the responsibility of 
considering, reviewing and making recommendation to the full Board on matters 
concerning academics and students at the University including but not limited to: 

i. policies involving academic programs and research, including the quality, 

character, and scope of instruction and research, admissions, financial aid, graduation, 
curriculum, degrees, support programs, and public service activities; 

ii. policies involving student affairs, activities and services; 

iii. policies involving faculty status other than collective bargaining issues or 

personnel policies; 

iv. President's recommendations for award of tenure. 

(c) The Committee on Administration and Finance shall have the responsibility of 
considering, reviewing, and making recommendations to the full Board on matters 
relative to the administrative operation and fiscal management of the University 
including but not limited to: 



-3- 



i. the annual state budget request and the annual operating budget including the 

allocation of funds to the campuses and other operating units of the University; 

ii. the annual financial statement(s) of the University and the campuses; 

iii. tuition and fees and student fee and major trust funds budgets; 

iv. investment policies, grants and contracts policies and compensation policies; 

v. property, real and personal of the University including its acquisition, 

disposition, management and control; 

vi. capital budgets and bond financing; 

vii information technology policies and plans; 

viii. personnel matters including policies on personnel, labor relations and collective 
bargaining policies and agreements; 

ix. affirmative action policies and implementation. 

(d) The Athletic Committee shall have the responsibility of considering, reviewing and 
making recommendations to the full Board on matters concerning intercollegiate athletics 
at the University including but not limited to: 

i. master athletic plans including athletic affiliations and overall athletics 

development; 

ii. policies involving athletic departments, activities and services. 

(f) The Audit Committee shall have the responsibility of considering, reviewing and 

making recommendations to the full Board on matters relative to financial control and 
auditing of the University including but not limited to: 

i. initiation of audits; 

ii. audits of the University and its components and affiliates. 

In addition, the Audit Committee shall have the final authority to review and approve 
the selection of external audit firms and the deployment of auditors pursuant to the 
Audit Protocols. 

(e) The External Affairs Committee shall have the responsibility of considering, 
reviewing and making recommendations to the full Board on matters relative to the 
University's relationships outside the University including but not limited to: 

i. fundraising and development policies and initiatives; 

ii. government relations and advocacy; 

iii. policies and initiatives concerning economic development, technology transfer, 

industry partnerships and sponsorships. 



The next item was Exclusion List. Department of Defense, a routine vote. It was moved, seconded 



and 



VOTED : To recommend that the Board take the following action: 

WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the 
Secretary and the designated Facility Security Officer meet the personnel 
clearance requirements established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion 
from the personnel clearance requirements of certain members of the Board 
of Trustees and other officers, provided that this action is recorded in the 
minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, 
the President, the Secretary and the designated Facility Security Officer at the 
present time do possess or will be processed for the required security 
clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively excluded 
from access to all classified information in the possession of the corporation 
and do not occupy positions that would enable them to affect adversely 
policies or practices in the performance of classified contracts for the 
Department of Defense or the User Agencies of its Industrial Security 
Program: 



NAME 


TITLE 


Brian Andriolo 


Trustee 


Daniel E. Bogan 


Trustee 


Derek C. Bok 


Trustee 


Lawrence S. DiCara 


Trustee 


Joseph S. Finnerty 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


Robert J. Haynes 


Trustee 


Charles Hoff 


Trustee 


Robert S. Karam 


Trustee 


Peter K. Lewenberg 


Trustee 


Arnold J. Lizana, III 


Trustee 


Ogretta V. McNeil 


Trustee 


Matthew Morrissey 


Trustee 


Gordon N. Oakes, Jr. 


Trustee 


James F. O'Leary 


Trustee 



(cont.) 



J. William Poduska, Sr. 


Trustee 


Timothy Purdy 


Trustee 


Mary L. Reed 


Trustee 


Piedad F. Robertson 


Trustee 


Rina K. Spence 


Trustee 


Timothy Sweeney 


Trustee 



Chancellor Lazare was then asked to report on the Hospital Management Board Minutes . The 
Committee then recognized the extensive work that George McClelland, Chair of the Hospital 
Management Board Finance Committee has done on behalf of the University and the Hospital. It was 
moved, seconded and 

VOTED : To recommend that the Board approve the minutes of the May 18, 1994 Hospital 
Management Board minutes including the Unaudited Financial Statement for April, 1994, 
and the appointments and reappointments for April, 1994. 

And further, to approve the Medical Staff By-Laws changes which had been approved by 
the Hospital Executive Committee. (Doc. T94-080) 

The item for discussion was Plans for Mission Enhancement Funds . President Hooker reminded the 
Committee that there was a percentage of funds reserved in the last year's budget for Mission 
Enhancement projects. The funds are being reallocated in the current year for ongoing projects. Each 
Chancellor then reported on the areas of focus in relation to the strategic priorities and the specific 
mission of each campus. President Hooker further said that each report of the Chancellor reflects the 
success of the Mission Enhancement program, particularly those projects which have already been picked 
up be external funding sources. This is also an example for reallocating resources to areas of need and 
mission, which is vital to the University's growth and success. 

Trustee Bok then gave a report on the Lowell Study Group, noting that the reason for this study 
grew out of a variety of changes and external forces on that campus. The study is divided into three 
broad areas: financial, physical plant and planning, and market niche. Trustee Bok noted that they plan 
to have a report to this Board at the October meeting, and stated further that this study may prove useful 
in looking at these important aspects of other campuses in the system. 

President Hooker then updated the Committee on Chancellor Hogan's Evaluation, noting that, in 
accordance with Board policy, the evaluation of Chancellor Hogan has commenced and he will report 
back to the Committee in the fall. 

Under Other Business. General Counsel Kirby updated the Committee on MASS PIRG and reported 
that the Board stands opposed to having any outside organization on the University's bills. 

Chair Taylor then called for a motion to enter Executive Session to consider an Honorary Degree at 
UMASS Boston and issues pertaining to Collective Bargaining . At 5:05 p.m. it was moved, seconded 
and 

VOTED : To go into Executive Session. 

Chair Taylor voted for the motion as did Trustees DiCara, Flores, Haynes, Hoff, Lewenberg and 
Spence. 

At 5:55 p.m. the Committee came out of Executive Session and it was moved, seconded and 



-6- 



VOTED : To recommend that the Board award an honorary degree to that individual agreed upon 
in Executive Session and to instruct the Chancellor to proceed with the necessary 
arrangements. 



The meeting adjourned at 6:00 p.m. 




lizabeth H. Tuthill 
Assistant Vice President for Board Relations 



-7- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE JOINT MEETING OF THE 
EXECUTIVE AND EXTERNAL AFFAIRS COMMITTEES 

Tuesday, October 4, 1994 

1:00 p.m. 

V.I.P. Room, Mullins Arena 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chairs Taylor and Karam; Trustees DiCara, Finnerty, Hoff, 
Lewenberg, Poduska, Reed, Robertson, Sweeney; Vice President/Secretary to the Board Boyd; Ms. Farrell, 
Assistant Vice President for Board Relations 

Other Trustees : Trustees Andriolo, Bok, and Lizana 

Committee Members Absent : Trustees Flores, Foley, Haynes, McNeil, Morrissey, O'Leary, Spence 

University Administration : President Hooker; Chancellors Scott, Cressy, Hogan and Lazare; Provost 
Esposito; General Counsel Kirby 

Guests : Randolph Bromery, President, Springfield College 

Chair Taylor convened the meeting at 1:10 p.m., and indicated that the first item on the agenda would 
be Strategic Planning under the Executive Committee. He then turned to Vice President Laslo Boyd, 
who described the strategic planning process and pointed out the areas of interest in the Strategic 
Planning document handed out to each member. In particular, Vice President Boyd noted the planning 
process around the three strategic priorities as well as the fourth distinctive priority of each campus. He 
further summarized where each campus stood in their planning process, and noted the importance of the 
loose-leaf binders that the plan was distributed in, indicating the importance of adding to and changing 
the plan as the process continues. 

Trustee Karam who has been closely involved with the planning said that he appreciated all of the 
hard work that had been done on the plans, and noted the importance of matching the goals and 
indicators. He further noted that the next step should be to bring all of the campus plans together and 
agree on a particular timeline and agree on the peers and aspirant peers. He also thanked all of those 
who have been involved in this effort. Trustee Hoff further noted that clear strategic imperatives should 
be identified in the plans. There was further discussion of the plans, particularly in regard to system 
comparisons, particular focus, format, and timetables. Chair Taylor indicated that the plans should set 
the agenda for Board meetings which would further allow the Trustees to participate in the development 
of the plans. He then thanked those involved in this effort, particularly Vice President Boyd. 

The next item on the agenda was Development Reports under External Affairs Committee. Trustee 
Karam asked Vice President Boyd to introduce the item. Mr. Boyd reminded the Committee that at the 
August, 1994 meeting the Committee had heard in greater detail from the Amherst campus, and that each 
campus would be given time to provide focused information to the Committee. Chancellor Cressy then 
provided informational highlights from the UMASS Dartmouth fundraising and development efforts 
which currently has a particular focus on the centennial campaign. Trustee Karam noted the importance 
of fund-raising administration as a high priority for the Board. 



The next item on the agenda were the action items under the Executive Committee, the first being 
Hospital Management Board Minutes . There being no discussion, 

It was moved, seconded and 

VOTED: To recommend that the Board approve the minutes of the June 22, 1994 Hospital 
Management Board minutes including Unaudited Financial Statement for June, 1994, and 
the appointments and reappointments for May, 1994. (Doc. T94-095) 

The next item on the agenda was the A ppointments to the Clinical Management Board, UMASS 
Worcester . Chair Taylor noted that he would be reporting on the actions taken at the Special Board 
Meeting held on September 23 which precedes this particular vote. 

It was then moved, seconded and 

VOTED: To recommend that the Board appoint the following members to the University of 
Massachusetts Clinical Management Board: 

M ed i ca l Staff Memb er 
Dr. William Lavelle 

Community Members 
Ms. Barbara Greenberg 
Ms. Mary Lee King 
Mr. William Kelleher 

Trustee Members 
Michael T. Foley, M.D. 
Robert J. Haynes 
Robert S. Karam 
Peter K. Lewenberg 
Daniel A. Taylor 

Ex Officio 

Aaron Lazare 

Arthur Russo 

Joseph Benedict 

Michael Hooker (or designate) 

(Doc. T94-104) 

The next action item on the agenda was the Naming of the Library, UMASS Amherst . Chair Taylor 
called on Chancellor Scott who offered background as to why this naming of the library for W.E. B. 
DuBois is so important to the campus, and further reviewed the information on Dr. DuBois that had been 
sent to the Committee. Chancellor Scott also noted that the Library Council had given their support to 
this action while continuing to emphasize the importance of the fundraising effort. Chair Taylor and 
Chancellor Scott then introduced Dr. Randolph Bromery who is the chair of the fundraising committee 
for the naming of the library, is a past Chancellor of the Amherst campus and currently President of 
Springfield College. Dr. Bromery spoke of the life of W.E.B. DuBois and the remarkable qualities of both 
scholar and citizen that DuBois exhibited over his long life. He further reminded the Board of the 
extensiveness of the DuBois collection in the UMASS Amherst library and the honor that was bestowed 
on the University and the Commonwealth in having the library housed there. Professor Thelwell of the 
Department of African-American Studies then spoke to the question of DuBois joining the Communist 
Party and the accusations against DuBois regarding his American citizenship, saying that there is no hard 
evidence that DuBois ever renounced his citizenship. After further discussion, 



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It was moved, seconded and 

VOTED: To recommend that the Board name the library on the Amherst campus in honor of 
W.E.B. DuBois. (Doc. T94-096) 

Chair Taylor then thanked Dr. Bromery for his leadership and for his earlier comments, and also 
thanked Professor Thelwell. It was further noted that the library should be an open, accessible place for 
students and visitors to the campus alike. Dr. Bromery also pointed out that the distinguished collection 
in the library also houses the Horace Mann Bond papers and poems of Phyllis Wheatley. 

Chair Taylor then turned to Trustee Bok for a report on the Lowell Study Group . Trustee Bok 
discussed the results and emphases from the Lowell Study, identifying the principle risks that were taken 
and the various aspects that shaped the results and recommendations of the study. He noted that there is 
a distinctive mission for the campus and the University ought to identify and commit resources to further 
that mission. Trustee Bok offered his thanks to Chancellor Hogan and the members of the Lowell campus 
for working with the Study Group. He then turned to various members of the Study Group to report on 
the specifics of their particular areas: Tom O'Brien, Dean of the School of Management reported on the 
financial condition of the campus; Pat Meny of the School of Management discussed findings from 
studies on the market niche; Joan Stoia reported on findings in the area of business and industry 
connections; and Mark Lindhult presented on the physical layout of the campus, with particular focus on 
the proposed Lowell Arena. 

Chancellor Hogan then thanked Trustee Bok and the Study Group, noting the importance of the 
document and the plans on the campus to pursue the recommendations through strategic planning and 
the planning and budget council work. Further discussion regarding the study was held, and it was 
decided that the last action item, Honorary Degrees , would be addressed by the Board in full so as to 
allow ample time for the discussion on the Lowell Study. Trustee Bok commented that the more 
important functions in order to make decisions will be to integrate the timetables into goals and include 
the study into the planning process; he also said that it would be important to focus on a few critical 
things which will allow the Board to follow a particularly important issue, and the need for strategic 
imperatives was again cited. 

It was then decided that the Chancellors should present three year plans on strategic imperatives 
with budget and planning implications. Also, the next level of focus and decision making on the Lowell 
Study needs to be identified and decisions should be tied to critical objectives. 

There being no further business to come before the Board, the meeting adjourned at 3:30 p.m. 




Eliz&beU H. Tuthill Farrell 

Assistant Vice President for Board Relations 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE JOINT MEETING OF THE 
EXECUTIVE AND EXTERNAL AFFAIRS COMMITTEES 

Tuesday, December 6, 1994 

3:00 p.m. 

Faculty Conference Room 

University of Massachusetts Medical Center 

Worcester, Massachusetts 

Committee and Committee Staff : Chairs Taylor and Karam; Trustees Haynes, Lewenberg, McNeil, 
Morrissey and Sweeney; Vice President Boyd; Assistant Vice President Farrell 

Other Trustees : Trustees Andriolo, Giblin, Kraft, and Naughton 

Committee Members Absent : Trustees Flores, Foley, Hoff, O'Leary, Reed, Robertson, Spence 

University Administration : President Hooker; Chancellors Cressy, Hogan, Lazare, Penney, Scott; General 
Counsel Kirby, Vice President Lenhardt 

Faculty Representatives : Professors May, Knight, Carroll and Dr. Cooke. 

Chair Karam convened the meeting at 3:20 p.m. Chair Taylor then introduced the three new Trustees 
who were in attendance at the meeting, Trustees Kraft, Giblin and Naughton, and thanked them for their 
willingness to serve on the Board. 

The first item on the agenda was the Legislative Packag e. Vice President Boyd referred to the 
legislative overview provided to each Trustee. Discussion regarding a student trustee serving on the - 
merged Building Authority was held and General Counsel Kirby will add that to the bill. The External 
Affairs Committee will hold a strategy meeting sometime after the first of the year to discuss this 
legislation and the FY96 budget. 

The next item on the agenda was an Update on the Capital Program . Vice President Lenhardt 
reminded the Committee that the Governor had filed a bill with extensive capital projects for the 
University which will most likely not be acted on this session. The University is planning extensive 
maintenance projects with borrowed money from the UMASS Building Authority. He also noted that the 
SMU Building Authority will refinance its bonds upon approval by the Board, and Chancellor Cressy will 
include the impact of this in his student fee budget in the spring. 

The next item on the agenda was Development Reports: UMASS Lowell . Vice President Boyd 
referred to the quarterly development report which combines all information from the five campuses. Of 
particular interest was the first-quarter funds raised comparing FY93 to FY94. More information will be 
provided and discussed at future meetings of the External Affairs Committee. 

Chancellor Hogan then provided a detailed update to the Committee on the campus' plans for 
development. Chancellor Hogan continued his presentation into the Lowell Campus Report, the 
response to the study by Trustee Bok. He reviewed the campus's overall strategy and the detailed steps 
that the campus will take to reach its goals with a specific schedule for funding this plan. The Trustees 
noted their satisfaction with the Chancellor's emphasis on reallocation to meet his campus' goals. The 
Committee further complimented the campus on it's timely response to the study, as did President 
Hooker. Trustee Andriolo commented that the students had been very involved with the study response 



and are supportive of the Chancellor's efforts to implement the recommendations. Chair Taylor also 
commented that this study was a good model for the Board to use in looking closely at the inner- 
workings of a campus located in an area of the state with economic difficulties like southeastern 
Massachusetts, and urged Chancellor Hogan to communicate any ways in which the Board or the 
President may be useful in helping the campus to implement their plan. 

The next item on the agenda was the Measurable Goals and Indicators . Trustee Karam reported that 
he has met with the campus representatives and significant progress on the use of data in strategic 
planning and prioritizing has been made. Trustee Karam further suggested that the Chancellors attend 
the next meeting of that group. 

In discussing the next agenda item, Strategic Initiatives . Trustee Karam indicated the need to define 
the category of items that would be included in this type of list. After extensive discussion, President 
Hooker reminded the Committee that he had asked the Chancellors to identify the five most critical areas 
of the campus's current activities in response to Trustee comments at the previous Executive Committee 
meeting. Chair Taylor affirmed the President's remarks and noted that these lists were not any formal 
statement of mission for the campuses. 

The next item on the agenda for action was Clinical Management Board Members . Chancellor 
Lazare reminded the Committee that the Clinical Management Board is the successor to the Hospital 
Management Board as approved by the Board of Trustees on September 23. The action for approval 
merely adds to the list of those already approved for membership on the newly created Board. 

It was moved, seconded and 

VOTED: To recommend that the Board appoint the following members to the University of 
Massachusetts Clinical Management Board: 

Community Members 
Cornelius Ferris 

Physicians 

Arthur Pappas, M.D. 

Neil Blacklow, M.D. 

The next item on the agenda for action was the Amendments to the By-Laws of the Clinical 
Operations, UMASS Worcester . After response to a question regarding the changed by-laws, it was 
moved, seconded and 

VOTED : To recommend that the Board approve the amendments to the By-Laws of the Clinical 
Operations of the University of Massachusetts Medical Center as listed in Doc. T94-099. 

The next item on the agenda for action was approval of th e Hospital Management Board Minutes . 
Chair Taylor noted that these minutes are from the last meeting of that Board. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the minutes of the September 28, 1994 Hospital 
Management Board including the Unaudited Financial Statements for June, July and 
August, 1994, and the appointments and reappointments for June, 1994. (Doc. T94-121) 

The next item on the agenda was the Department of Defense Exclusion List . Chair Taylor reminded 
the Committee that this vote is necessary in response to Department of Defense regulations. 



-2- 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the Secretary 
and the designated Facility Security Officer meet the personnel clearance 
requirement established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from 
the personnel clearance requirements of certain members of the Board of 
Trustees and other officers, provided that this action is recorded in the minutes. 

NOW THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, the Secretary and the designated Facility Security Officer at the present 
time do possess or will be processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately make 
application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively excluded from 
access to all classified information in the possession of the corporation and do not 
occupy positions that would enable them to affect adversely policies or practices 
in the performance of classified contracts for the Department of Defense or the 
User Agencies of its Industrial Security Program: 



NAME 

Brian Andriolo 

Daniel E. Bogan 

Derek Bok 

Heriberto Flores 

Michael T. Foley, M.D. 

William Giblin 

Robert J. Haynes 

Charles Hoff 

Robert S. Karam 

Myra Kraft 

Peter K. Lewenberg 

Arnold Lizana 

Ogretta McNeil 

Matthew Morrissey 

John Naughton 

James F. O'Leary 

John William Poduska, Sr. 

Timothy Purdy 

Mary L. Reed 

Piedad F. Robertson 

Rina K. Spence 

Timothy Sweeney 



TITLE 

Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



-3- 



There being no further business to come before the Committee, the meeting adjourned at 5:20 p.m. 




'J 





Elizabeth H. Tuthill Farrell 

Assistant Vice President for Board Relations 



-4- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, February 2, 1994; 9:15 a.m. 

Chancellor's Conference Room 

Quinn Administration Building 

University of Massachusetts 

Boston, Massachusetts 

Trustee and Trustee Staff: Chair Taylor; Trustees Bogan, Bok, DiCara, Dickson, Finnerty, Flores, Foley, 
Haynes, Hoff, Karam, Lewenberg, Lizana, McNeil, O'Leary, Poduska, Reed, Siegmann, Spence and Tobin; 
Mrs. Fontaine, Secretary to the Board 

Trustees Absent : Trustees Cunningham, Oakes and Robertson 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
Vice Presidents Lenhardt, Sessoms and Chmura; General Counsel Kirby; Ms. Layton, Assistant Vice 
President; Professors May, Watanabe, Ahearn, Sheff and Dr. Cooke, Faculty Representatives 

Chair Taylor convened the meeting at 9:28 a.m. The first item on the agenda was consideration of the 
Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the December 1, 1993 meeting of the Board. 

President Hooker then gave his report. He first asked Chancellor Penney to update the Board on the 
recent air quality problems the Boston campus has been experiencing. Chancellor Penney reported that 
she will continue to meet with staff from the Department of Health and Hospitals before a decision as to 
when the campus can open. The campus is now open on a limited basis and a decision will soon be made 
on a planned opening to students on Monday. -> 

Chancellors Cressy and Lazare then briefed the Board on their recent trip to Israel as part of the 
Governor's trade mission. 

President Hooker then reported to the Board about the importance of public relations and building a 
positive public image in the Commonwealth. He also reported on the recent reception for ALANA 
faculty and staff held at the Worcester campus. The reception was well attended and provided an outlet 
for useful discussion. A five-campus student conference on multi-culturalism is now being planned for 
the Fall and A President's Advisory Council on Multi-culturalism is a|so being developed. 

/ 

Under the Committee of the Whole Discussion, Chancellor Penney introduced Shaun O'Connell, 
Professor of English and author of the book "Imagining Boston" a 1 copy of which each Board member 
received. The Board then saw a video presentation about howUhe Boston campus is meeting the 
challenges of the future, including affordability, accessibility and accountability. Brenda Cherry, Dean of 
the Nursing Program, Martin Quitt, Professor of History, Joseph Conney, Professor in the Environmental 
Sciences, Donaldo Macedo, Professor of English , Connie Chan from the Human Services program, CPCS, 
Terry Mortimer, Associate Provost, Edwin Melendez, Director of the Gaston Institute, each spoke of their 
programs and how they will shape the campus' vision. 

Chancellor Penney also announced the formation of an Urban Cabinet co-chaired by James Jennings, 
Director of the Trotter Institute and Vice Chancellor Charles Desmond. This cabinet will ensure that the 



multi-faceted urban agenda is results oriented. She also talked about meetings with UMASS Boston 
graduates, Mayor Thomas Menino and Congressman Joseph Kennedy to discuss Boston's' future. 

Chair McNeil gave the report of the Committee on Academic and Student Affairs. The first item was 
Award of Tenure, UMASS Worcester . It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to Dr. Jack L. Leonard, 
Professor of Nuclear Medicine, UMASS Worcester. (Doc. T94-014) 

The next item was Transfer of Tenure, UMASS Amherst . It was moved, seconded and 

VOTED : To concur with the President in the transfer of tenure of Dr. R. Glenn Brown from 
the Department of Nutrition to the Department of Veterinary and Animal Sciences, 
UMASS Amherst. (Doc. T94-017) 

Trustee McNeil then updated the Board on several issues including the collaborative Nursing 
Program which is under review and will be soon sent to the Higher Education Coordinating Council. A 
program review policy for the system is being developed and an engineering study has been 
commissioned to review the Engineering colleges and programs at the Amherst, Dartmouth and Lowell 
programs. She reported that the Committee also heard reports on Achieving Tenure, the Community 
College Articulation Program and Under-enrolled Programs and the role of continuing education at 
UMASS Lowell. 

Trustee McNeil then asked Assistant Vice President Layton to update the Board on the results of the 
survey sent to members of the legislature and key staff officials. These results will be incorporated in the 
UMASS Report Card. She also spoke of the Five Campus Peer Study. There was then discussion about 
the survey's results which showed that access to the University and the quality of teaching were 
considered the top priorities and to achieve these goals, the University must show the legislators that 
increased state funding must be obtained. Trustee Hoff pointed out the need for cost control and stronger 
fundraising efforts to curb tuition and fee increases. 

Trustee Spence then gave the report of the Committee on Administration and Finance. She first 
reported on the preliminary discussion the Committee had concerning tuition and fees. She mentioned 
the President's intention to lift investment restrictions in South Africa effective May 1, 1994 barring any 
reversal of anticipated commitments of the government. 

The two items for action were approval of the Trustee Reserve Fund and the President's Program 
Fund . These policies would provide flexibility to the Board and the President for emergency situations 
on campuses and to fund some innovative projects. 

President Hooker noted that funds from the Trustee Reserve had been used this week to begin to 
remedy the situation at the Boston campus. An example of funds from the President's Program Fund was 
the Diversity Conference at Amherst this past Fall. Trustee Haynes requested the Board be regularly 
informed about the how these funds are being spent. 

In response to a statement from Trustee Flores about the growing Hispanic population, Chancellor 
Cressy informed the Board of the Dartmouth campus' outreach programs in the area high schools focused 
to increase student interest in college. 

It was moved, seconded and 

VOTED : To establish the University-wide Trustee Reserve Fund and to approve the Policy on 

Trustee Reserve and purpose as contained in Doc. T94-018A. Further, to rescind all other 



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policies relating to this fund (or any part thereof) currently in effect in the University 
which are inconsistent herewith. 

The next item was approval of the President's Program Fund . It was moved, seconded and 

VOTED : To establish the University-wide President's Program Fund and to approve the Policy on 
the President's Program Fund and purpose as contained in Doc. T94-019A. Further, to 
rescind all other policies relating to this fund (or any part thereof) currently in effect in 
the University which are inconsistent herewith. 

Trustee Lizana then commented about the impact raising tuition and fees will have on students. The 
new budget proposed by the Governor will show level funding which means the University must find 
ways to see that all students wishing to attend UMASS are able to do so. It was suggested the University 
strongly consider fundraising efforts. It was also suggested that a task force be established to look at the 
questions of what kind of financial needs there are and what loans are available. A group of students and 
appropriate people to study this issue will be set up. 

Trustee Lewenberg then gave the Report of the Committee on Athletics. He reported that President 
Hooker updated the members on the significant outcomes of the recent National Collegiate Athletic 
Association convention, and there was also an update on diversity efforts on each of the campuses, as 
well as an update on the status of the athletic facility at UMASS Lowell. 

Chancellor Cressy then updated the Board on the Dartmouth campus' efforts to attract the World 
Cup Soccer team to train at UMASS Dartmouth. 

The next item on the agenda was the report of the Audit Committee. Trustee Haynes first thanked 
David Wolcott, Stephen Lenhardt and Janet Wanczyk for their work and efforts on behalf of the 
Committee. It was moved, seconded and 

VOTED : To accept the following Reports: 

•Recreational Fees Follow-Up Audit, UMASS Amherst (Doc. T94-004) 

•Division of Public Safety Payroll System Follow-Up, UMASS Amherst (Doc. T94-005) 

•Employee Business Expense Processing and Control Audit, UMASS Worcester (Doc. 
T94-007) 

• Audited Financial Statements for FY93 for the Worcester City Campus Corporation 
(Doc.T94-001) 

•Management Letter for Worcester City Campus Corporation (Doc. T94-011) 

•Teaching Hospital Trust Fund Management Letter (Doc. T94-008) 
•Group Practice Plan Management Letter (Doc. T94-009) 
•Self Insurance Trust Management Letter (Doc. T94-010) 

•Teaching Hospital and Group Practice Plan Information Systems Management Letter, 
UMASS Worcester (Doc. T94-012) 

• WFCR-FM & Friends of WFCR, Inc., FY93 Audited Financial Statements (Doc. T94-002) 
•WFCR-FM Management Letter, UMASS Amherst (Doc. T94-O03) 

Chair Taylor commended Trustee Haynes for the extraordinary job he's doing chairing the Audit 
Committee, and welcomed members of the Board to join the Committee. 



Chair Taylor then gave the report of the Executive Committee. Trustee Foley updated the Board on 
the activities of the Hospital Management Board ,. It was moved, seconded and 

VOTED : To approve the minutes of the November 17, 1993 Hospital Management Board 
meeting including the Unaudited Financial Statement for October, 1993. (Doc. 
T94-022) 

Under Other Business, Trustee Haynes commended Chancellor Scott for responding to financial 
shortfall on campus by avoiding layoffs through attrition. 

Professor Watanabe then requested that members of the three unions, representatives of the students 
to participate in discussions with the Department of Health and Hospital to decide when the Boston 
campus will reopen. 

President Hooker then announced that Ronald Story, will complete his duties as Interim Vice 
President for Academic Affairs at the end of August and return to the Amherst campus. He commended 
Professor Story for the outstanding job he has done and for his commitment to quality and preservation 
of traditional values in the area of academic affairs. A search process for a two-year interim Vice 
President will begin immediately. 

The meeting adjourned at 11:35 a.m. 




Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, April 6, 1994; 9:15 a.m. 

Corsair's Cove 

University of Massachusetts 

Old Westport Road 
Dartmouth, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Bok, Bogan, Cunningham, DiCara, Dickson, Finnerty, 
Flores, Foley, Haynes, Hoff, Lewenberg, Lizana, McNeil, Oakes, O'Leary, Poduska, Reed, Siegmann, 
Spence and Tobin; Mrs. Fontaine, Secretary to the Board 

Trustees Absent : Trustees Karam and Robertson 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
Vice Presidents Boyd, Chmura, Lenhardt, Sessoms and Story; Ms. Kirby, General Counsel; 

Chair Taylor convened the meeting at 9:35 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the February 2, 1994 meeting of the Board. 

Chair Taylor then announced that Trustee Siegmann has been chosen to represent the University and 
the State of Massachusetts at the 1994 Women as Leaders Seminar to be held in Washington. The 
Washington Center for Internships and Academic Seminars received over 8,000 applications for 
consideration and Stephanie will be one of 200 seminar participants. 

He then announced that he was formally appointing Trustees Reed, Haynes and Hoff to the Ad Hoc 
Committee on Personnel and Diversity. This Committee has been established under the Administration 
and Finance Committee to review the non-unit personnel policies. The Committee's charge will be 
expanded to include personnel and diversity issues and will report directly to the Board. 

President Hooker then gave his report. He first announced that the Higher Education Coordinating 
Council (HECC) has approved the joint Ph.D. proposal in Nursing between the Amherst and Worcester 
campuses. There is now discussion between the Boston and Lowell campuses for another joint effort in 
Nursing. He also announced that the University system has been accepted as part of Phase II of the Pew 
Roundtable project which has been looking at the financial condition of higher education, particularly the 
difficulties of restructuring in light of financial exigencies. The University's participation will consist of 
roundtable discussions at each campus which will include faculty and administrators, each facilitated by 
someone from PEW. The final roundtable will have system-wide participation. Typically, roundtables 
have 25-30 people, half of which are faculty, half of which are administrators; PEW sends in a facilitator to 
discuss various policy documents. 

Trustee McNeil then gave the report of the Committee on Academic and Student Affairs. Along with 
the joint program in Nursing at Amherst and Worcester, the Stage I proposal in Organismic and 
Entomology at UMASS Amherst is also expected to be approved by HECC. The comprehensive 
Engineering Study is nearly complete and will be sent out to the campus for review before it comes to the 
Board. The Report Card to the Legislature is also expected to be completed by the end of the month. 



The first action item was Awards of Tenure. UMASS Amherst. UMASS Boston . She reported that 
out of the Amherst campus nominees, there were five women, and one African-American. In Boston, all 
three candidates were women. It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individuals: 

Amherst 

Dorothy Gilbert - Nursing 

Karen Heifer - Communications Disorders 

Matthew Kelty - Forestry and Wildlife Management 

M. Christine King - Nursing 

John Kingston - Linguistics 

Randall Knoper - English 

Patricia Lasch - Art 

Craig Martin - Chemistry 

David K. Scott - Physics and Astronomy 

Nancy Sheard - Nutrition 

Nathaniel Whitaker - Mathematics and Statistics 

Boston 

Jane Adams - Psychology 

Randy Albelda - Economics 

Jill Rierdan - Psychology (Doc. T94-042) 

The next item was a formal resolution withdrawing the Doctor of Nursing Science Program, 
UMASS Lowell. It was then moved, seconded and 

VOTED : To withdraw from further consideration by the Higher Education Coordinating Council, 
the Stage II proposal for a Doctor of Nursing Science at UMASS Lowell as contained in 
Doc.T91-112. 

The next item was approval of the Stage II proposal for a Master of Arts in Teaching, UMASS 
Dartmouth . It was moved, seconded and 

VOTED : To approve the Stage II proposal for a Master of Arts in Teaching at UMASS Dartmouth 
as contained in Doc. T91-112. 

Trustee McNeil then reported that the Committee had heard a report on Center and Institutes and 
asked that it come back to the Committee after further review. The Committee had heard a report on 
Financial Aid Administration stipulating that some changes had been made and that most of the needs 
are being met. Another report on Academic Program Review had generated a great deal of discussion 
and had led to a set of recommendations being reviewed by the campuses which will then come back to 
the Committee. 

There had also been an update on the Wrap-Around Electronic Admissions Applications, the 
Academic Program Brochure and a Report on the Federal Budget. Trustee Bok inquired about a 
Committee discussion on the tenure process. This item would be on a future Committee agenda with 
Trustee Bok in attendance. 

Trustee Lewenberg then gave the Report of the Committee on Athletics. He first congratulated the 
successful programs at Amherst, Dartmouth and Lowell in all sports. He then reported on the 
Committee's discussions with Mr. David Curley, Merchandising Manager and Licensing Administration 
about the merchandising of the UMASS logo. There had also been an update on the multi-purpose arena 



-2- 



at UMASS Lowell and the City of Lowell's deadline of May 1st to commit to funding the arena as a joint 
project. 

He then reported on the Medical Policies and Protocols discussion on student athletics to maximize 
their care and minimize risks to student athletes. The Committee also heard a report on Astro turfing and 
Lighting at UMASS Amherst. It was decided more research was needed on this subject before further 
action was taken. 

Chancellor Hogan was then asked to elaborate on the plan for a new facility at UMASS Lowell. He 
reported that the current plan was to build two sites, 2000 feet apart, one on city property, one on 
University property, with the University site housing a recreational student center, the other site housing 
both the arena and a practice sheet of ice. He also discussed the capital costs involved. The plan was to 
have the University, the City and the State each pay one third of the cost. This issue is still in the early 
stages and will come back to the Board for approval. 

Trustee Haynes the gave the Report of the Audit Committee. 

It was moved, seconded and 

VOTED : To accept the following Reports: 

• Employee Business Expense Reimbursement Audit, UMASS Worcester 
(Doc. T94-007, Addendum 1) 

•Department of Athletics and Intramurals (Doc. T94-024) 

•Outside Booster Organization, UMASS Amherst (Doc. T94-025) 

•University Health Services (Student Health and Kaiser Permanente Trust Funds), FY93 
Audited Financial Statements (Doc. T94-026) 

•University Health Services Management Letter, UMASS Amherst (Doc. T94-027) 

•University General Purpose Audit Management Letter (Doc. T94-028) 

Trustee Lizana expressed an interest in joining the Audit Committee at which time, Chair Taylor 
encouraged the other student Trustees to participate in this very important committee and commended 
Trustees Haynes, Vice President Lenhardt and the audit staff for their hard work. 

Trustee DiCara then reported on the action taken by the Nominating Committee. It was moved, 
seconded and 

VOTED : To appoint Laslo V. Boyd as Secretary to the Board of Trustees. 

Trustee Spence then reported on the Committee on Administration and Finance. The first item was 
approval of the Personnel Policy for Non-Unit Professional Staff . Trustee Reed, Chair of the Ad Hoc 
Committee on Personnel has reviewed the policy in detail and was recommending it to the Board. It was 
then moved, seconded and 

VOTED : To approve the Personnel Policy for Non-Unit Professional Staff as contained in Doc. T94- 
023. Further, to rescind Doc. T73-090A, and all other policies (or any part thereof) currently 
in effect in the University which are inconsistent herewith. 



-3- 



The next item was approval of the Policy on t he Development and Adminis tration of Grants and 
Cooperative Agreements for Sponsored Programs . Trustee Spence explained that this policy was part of 
an on-going effort to update all University policies to incorporate all five campuses. It was moved, 
seconded and 

VOTED : To approve the Policy on the Development and Administration of Grants and Cooperative 
Agreements for Sponsored Programs as contained in Doc. T94-034. Further, to rescind Doc. 
T81-051B, and all other policies (or any part thereof) currently in effect in the University 
which are inconsistent herewith. 

The next item was the 1994-1995 Tuition and Fees . Trustee Spence indicated that there had been alot 
of discussion at the Administration and Finance Committee meeting on this issue and she said that the 
Trustees are as concerned as the students about the rate of tuition increases over the many years and the 
fact that tuitions at UMASS are high. She pointed out that the Board has concluded that tuition should 
not be used to subsidize expenses and has done everything to work with the campuses to reduce 
expenses without levying the students. This year, the proposal is a zero increase in tuition in accordance 
with HECC and a fee increase equivalent to their 2% of the aggregate tuition and mandatory fees in FY94. 
Trustee Spence also pointed out that even with this very limited increase there will be an effect on the 
campuses and each of the Chancellors will have budget gaps to deal with. 

Trustee Spence further stated that there is a real hope that this time next year we can have a joint 
effort with the students, Trustees and Chancellors to work with the legislature to help support UMASS. 

There was then a lengthy discussion about the strategy and the proposed vote before the Board. 

Trustee Siegmann then spoke to the Board urging it to vote against the increase, then asked that the 
vote taken be a roll call vote. 

Trustee Hoff seconded a roll call vote and asked to go on record as being opposed to any fee 
increases. 

Each Chancellor then summarized for the Board the consequences a zero tuition and fee increase 
would have on each campus. 

The Board then heard from two student at the Boston campus explaining the hardship further fee 
increases would impose on the students. 

It was then moved, seconded and on roll call 

VOTED : 

WHEREAS, the pattern of reductions in the state appropriation to the University of Massachusetts 
over the past six years has resulted in increases in student charges to continue the academic 
enterprise; 

WHEREAS, these increases in student charges have resulted in placing some University of 
Massachusetts campuses among the most expensive public institutions in the United States; 

WHEREAS, the Board believes it must balance the need to provide a diverse quality education with 
the need to provide access to higher education for Massachusetts citizens; 



NOW THEREFORE in accordance with Section 9 (i) of Chapter 15A of the General Laws the Board of 
Trustees hereby recommends to the Higher Education Coordinating Council that there shall be no 
increase in tuition on any University campus for Academic year 1994-95 and therefore tuition will 
remain as follows: 

Tuition: 









Annual 






From 


To 


Dollar 


% 


A yyihafcf 


FY1994 


FY1995 


Change 


Change 


Undergraduate (resident) 


$2,220.00 


$2,220.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$8,566.00 


$8,566.00 


$0.00 


0.0% 


Graduate (resident) 


$2,778.00 


$2,778.00 


$0.00 


0.0% 


Graduate (non-resident) 


$8,566.00 


$8,566.00 


$0.00 


0.0% 


Boston 










Undergraduate (resident) 


$2,220.00 


$2,220.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$8,568.00 


$8,568.00 


$0.00 


0.0% 


Graduate (resident) 


$2,778.00 


$2,778.00 


$0.00 


0.0% 


Graduate (non-resident) 


$8,568.00 


$8,568.00 


$0.00 


0.0% 


Dartmouth 










Undergraduate (resident) 


$1,836.00 


$1,83600 


$0.00 


0.0% 


Undergraduate (non-resident) 


$6,919.00 


$6,919.00 


$0.00 


0.0% 


Graduate (resident) 


$2,206.00 


$2,206.00 


$0.00 


0.0% 


Graduate (non-resident) 


$6,919.00 


$6,919.00 


$0.00 


0.0% 


Lowell 










Undergraduate (resident) 


$1,884.00 


$1,884.00 


$0.00 


0.0% 


Undergraduate (non-resident) 


$7,028.00 


$7,028.00 


$0.00 


0.0% 


Graduate (resident) 


$2,260.00 


$2,260.00 


$0.00 


0.0% 


Graduate (non-resident) 


$7,028.00 


$7,028.00 


$0.00 


0.0% 


Worcester 










Medical School 


$8,792.00 


$8,792.00 


$0.00 


0.0% 


Graduate (resident) 


$2,738.00 


$2,738.00 


$0.00 


0.0% 


Graduate (non-resident) 


$8,566.00 


$8,566.00 


$0.00 


0.0% 



Provided further, in accordance with Section 1 A of Chapter 75 of the General Laws, to establish and 
approve the following fees and associated budgets for Academic Year 1994-95 as listed in Doc. T94- 
033: 



Curriculum Fees: 









Annual 






From 


To 


Dollar 


% 


-f /yret- 


FY1994 


FY1995 


Change 


Change 


lersi 

Undergraduate (resident) 
Undergraduate (non-resident) 
Graduate (resident) 
Graduate (non-resident) 


$2,055.00 
$2,055.00 
$1,734.00 
$1,734.00 


$2,138.00 
$2,138.00 
$1,804.00 
$1,804.00 


$83.00 
$83.00 
$70.00 
$70.00 


4.0% 
4.0% 
4.0% 
4.0% 



Boston 



Undergraduate $1,730.00 


$1,814.00 


$84.00 


4.9% 


Graduate $1,730.00 


$1,814.00 


$84.00 


4.9% 


Lowell 








Undergraduate (resident) $2,646.00 


$2,736.00 


$90.00 


3.4% 


Undergraduate (non-resident) $2,646.00 


$2,840.00 


$194.00 


7.3% 


Graduate (resident) $2,646.00 


$2,745.00 


$99.00 


3.7% 


Graduate (non-resident) $2,646.00 


$2,840.00 


$194.00 


7.3% 


Worcester 








Medical School $1,000.00 


$1,000.00 


$0.00 


0.0% 


Graduate $312.00 


$312.00 


$0.00 


0.0% 


Mandatory Fees: 




Annual 




From 


To 


Dollar 


% 


FY1994 


FY1995 


Change 


Change 


Amherst 








Undergraduate $1,192.00 


$1,216.00 


$24.00 


2.0% 


Graduate $998.00 


$1,018.00 


$20.00 


2.0% 


Boston 








Undergraduate $298.00 


$298.00 


$0.00 


0.0% 


Graduate $298.00 


$298.00 


$0.00 


0.0% 


Lowell 








Undergraduate $72.00 


$74.00 


$2.00 


2.8% 


Graduate $72.00 


$74.00 


$2.00 


2.8% 


Worcester 








Medical School, First and Second Year 








$430.00 


$470.00 


$40.00 


9.3% 


Medical School Third and Fourth Year 








$405.00 


$435.00 


$30.00 


7.4% 


Graduate (non-resident) 








$405.00 


$435.00 


$30.00 


7.4% 


Residence Hall and Board Fees: 




Annual 




From 


To 


Dollar 


% 


FY1994 


FY1995 


Change 


Change 


Amherst 








Average Room $2,185.00 


$2,266.00 


$81.00 


3.7% 


Average Board $1,712.00 


$1,762.00 


$50.00 


2.9% 


Telecommunications $0.00 


$0.00 


$0.00 


0.0% 


Boston 


N/A 
N/A 







-6- 



Lowell 










Average Room 


$2,390.00 


$2390.00 


$0.00 


0.0% 


Average Board 


$1,780.50 


$1,836.75 


$56.25 


3.2% 


Residential Telecommunications 


$80.00 


$100.00 


$20.00 


25.0% 


Worcester 




N/A 
N/A 







Provided, however, that the President is authorized and directed to rescind all mandatory fee 
increases listed in Doc. T94-033 if the legislative appropriation provided to the University in the 
Fiscal Year 1995 budget exceeds $343,999,211. 

AND FURTHER, 

WHEREAS, the Dartmouth campus joined the University of Massachusetts system in 1991 with 
tuition and fees substantially lower than these charged by the other campuses of the University and 
by other universities generally; 

WHEREAS, the Dartmouth campus requires additional funding from student charges to assist in 
continuing to bring its programs to the level of a major University campus; 

WHEREAS, the President and Chancellor of the Dartmouth campus have recommended a multi- 
year plan to meet these goals; 

NOW THEREFORE, in accordance with Section 1A of Chapter 75 of the General Laws the Board 
establishes and approves the following fees and associated budgets for the Dartmouth campus for 
Academic Year 1994-95 as listed in Doc. T94-033: 

Curriculum Fees: 









Annual 






From 


To 


Dollar 


% 




FY1994 


FY1995 


Change 


Change 


Undergraduate (resident) 


$1,469.00 


$1,711.00 


$242.00 


16.5% 


Undergraduate (non-resident) 


$1,843.00 


$2,405.00 


$562.00 


30.5% 


Graduate (resident) 


$1,529.00 


$1,820.00 


$291.00 


19.0% 


Graduate (non-resident) 


$1,843.00 


$2,405.00 


$562.00 


30.5% 


Mandatory Fees: 










Undergraduate 


$263.00 


$288.00 


$25.00 


9.5% 


Graduate 


$263.00 


$288.00 


$25.00 


9.5% 



Residence Hall and Board Fees: 



Average Room 
Average Board 



$2,588.00 
$2,002.00 



$2,588.00 
$2,026.00 



$0.00 
$24.00 



0.0% 

1.2% 



-7- 



Trustees Bogan, Bok, DiCara, Finnerty, Foley, Haynes, Lewenberg, Oakes, O'Leary, Poduska, Reed, 
Spence and Chair Taylor voted for the motion. Trustees Flores, Hoff, McNeil, Siegmann and Tobin voted 
against the motion. The motion passed. 

The next item was approval of the Graduate Employees Organization Contract . It was moved, 
seconded and 

VOTED : To approve the agreement between the University of Massachusetts Amherst and the 
Graduate Employees Organization (GEO) as described in Doc. T94-035. 

Chair Taylor then commended Trustee Spence for all her work as Chair of the Committee on 
Administration and Finance. He then gave the report of the Executive Committee. The first item was 
Amendments to the By-Laws . It was moved, seconded and 

VOTED : To approve the following amendments to the By-Laws of the Board of Trustees of the 
University of Massachusetts (Doc. T91-100): 

Article II, Meetings of the Board, is hereby amended by inserting after Section 3 the 
following: 

Section 4. Consent Agenda 

By a vote of a majority of Trustees present at any Committee meeting, action item(s) may 
be placed on a consent agenda for regular Board meetings. Any item so designated as a 
consent agenda item by the Committee shall be so designated in the agenda of a regular 
Board meeting mailed to the Board of Trustees. Unless any member objects to the 
inclusion of an item on the consent agenda by notifying the President at least twenty-four 
hours before the Board meeting, all items designated as a consent agenda item in the 
agenda shall be included in the consent agenda for approval by a single vote by the 
Board of Trustees without discussion of individual items. 

Article III, Committees of the Board, is hereby amended by inserting after subsection (a) 
the following: 

Section 4 

(b) Each Committee, as a standing agenda item, shall reserve fifteen (15) minutes for 
public participation. Individuals seeking to speak to a Committee should so inform the 
Trustees' Office in writing, setting for the purpose for which they seek to speak, at least 
twenty-four (24) hours before the relevant meeting. Generally, the subject should be 
related to an item on the meeting agenda. An individual speaker is allowed, at the 
pleasure of the Chair, a maximum of three (3) minutes for his/her presentation which 
may be supplemented by written material. 

The next item was A pproval of the Hospital Management Board Minutes . It was moved, seconded 
and 

VOTED : To approve the minutes of the December 16, 1993 and January 26, 1994, Hospital 
Management Board meetings including the Unaudited Financial Statements for November 
and December, 1993, and the proposed appointments and reappointments for November, 
1993. 



-8- 



And further, 

To approve the Finance Committee's recommendation that the Policy for Consulting 
Contracts require Administration to inform the Finance Committee and Board of contracts 
for professional services exceeding $100,000. This requirement is an annexation of the 
Trustee policy Document T92-031, entitled "Policy for Management of University Funds" 
as it pertains to the Teaching Hospital. (Doc. T94-043) 

The next item was a Delegation of Authority to Laslo Boyd, Vice President for University Relations 
and Secretary to the Board, as Certifying Officer of the University . It was moved, seconded and 

VOTED : To appoint Laslo Boyd, Vice President for University Relations and Secretary to the Board 
of Trustees, Certifying Officer of the University; further, to appoint Elizabeth Tuthill, 
Assistant Vice President for Board Relations, as Certifying Officer in the absence of the Vice 
President/ Secretary. (Doc. T94-044) 

The next item was a Delegation of Authority to t he Committee on Personnel and Diversity 
concerning personnel actions. As reported earlier, Chair Taylor announced the formal appointments of 
Mary Reed, as Chair and Trustees Haynes and Hoff to the Ad Hoc Committee on Personnel and 
Diversity. This group, a subcommittee of Administration and Finance to review non-unit personnel 
policies will have its charge's expanded to include personnel and diversity issues and will report directly 
to the Board. It was moved, seconded and 

VOTED : To delegate to the Ad Hoc Committee on Personnel and Diversity the authority to conduct 
hearings, make findings and decisions, and, where appropriate, to make recommendations 
to the full Board regarding terminations, suspensions, or other individual personnel actions 
whenever a hearing by the Board of Trustees or a committee thereof is required by Board 
policy or by law. 

The next item was Honorary Degrees. UMASS A mherst and UMASS Dartmouth . It was moved, 
seconded and 

VOTED : To award honorary degrees to those individuals agreed upon in Executive Session and to 
instruct the Chancellors to proceed with the necessary arrangements. 

Trustee Oakes then read a Resolution honoring Cynthia Fontaine, Secretary to the Board for the past 
ten years on her retirement. It was moved, and seconded 

VOTED : 

Whereas, Cynthia A. Fontaine has served as Secretary to the University of Massachusetts Board for 
ten years; 

Whereas, Secretary Fontaine has carried out the ministerial and administrative functions to the 
Board of Trustees with unerring efficiency, exemplary dedication, and true 
professionalism; 

Whereas, she has conducted her office with great loyalty to this Board, to this University and, 
therefore, to the cause of higher education in the Commonwealth of Massachusetts; 

Whereas, Secretary Fontaine will be leaving the Office of the Secretary to explore other facets of her 
talent; 



-9- 



*) 



Be it Resolved, the Board of Trustees of the University of Massachusetts, in a meeting assembled this 
sixth day of April, 1994, does hereby express not only its sincere and lasting gratitude, 
but also the thanks of the entire University community for the constant and selfless 
commitment of Secretary Fontaine during her tenure; 



Be it Further 
Resolved, 



that the Board of Trustees wishes her and her family good health and happiness, and best 
wishes in the many endeavors her boundless energy will undoubtedly lead her. 



The meeting adjourned at 11:30 a.m. 




Barbara uevico 
Staff Assistant 



V 



■10- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, June 8, 1994; 9:15 a.m. 

Board Room 

University of Massachusetts 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Cunningham, DiCara, Dickson, Foley, Haynes, Hoff, 
Karam, Lewenberg, Lizana, McNeil, O'Leary, Poduska, Reed, Siegmann and Tobin; Vice 
President/Secretary to the Board Boyd; Ms. Tuthill, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Bogan, Bok, Finnerty, Flores, Oakes, Robertson and Spence 

Student Trustees Elect : Mr. Purdy, Mr. Morrissey and Mr. Andriolo 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
Vice Presidents Chmura, Lenhardt, Sessoms and Story; General Counsel Kirby 

Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the April 6, 1994 meeting of the Board. 

Under the President's Report, President Hooker informed the Board of the study, "New Economic 
Reality" sponsored by the Massachusetts Taxpayers Foundation and conducted by Professor Craig Moore 
of the UMASS Amherst School of Management and Dr. Edward Moscovitch, of Cape Ann Economics, 
analyzing the Commonwealth's economy which will prove valuable to policy makers. He then reported 
that he, the Chancellors, and Vice Chair Karam would need to leave the meeting to attend the release of 
the State Senate budget at 10:00 a.m. It is believed that the budget has a proposed increase of $15 million 
over last year's budget, a $4.2 million increase over the House budget. He talked about the difference this 
year in working for the budget involving Trustees, faculty, students, particularly the students from 
Amherst. He also mentioned the efforts of Vice Chair Karam and the External Affairs Committee for 
taking on the challenge of gaining political support for the budget and how to present it. 

He then asked Chancellors Penney and Hogan to introduce their new Provosts, Louis Esposito from 
UMASS Boston and Sukant Tripathy from UMASS Lowell. 

Trustee McNeil then gave the report of the Committee on Academic and Student Affairs. The first 
item had been the approval of Codes of Student Conduct . It was moved, seconded and 

VOTED : To approve the Codes of Student Conduct for the Amherst, Boston, Dartmouth and 

Lowell a.mpuses as contained in Doc. T94-059. Further, to rescind DocTs. T93-055A and 
T87-037B, and all other policies (or any part thereof) currently in effect in the University 
which are inconsistent herewith. 

The next item was the Constitution of Student Government Association. UMASS Amherst . Trustee 
Lizana then recognized the work of Matt Malone, Student Attorney General and his staff for this major 
accomplishment. It was moved, seconded and 



VOTED : To approve the Constitution of the Student Government Association at the Amherst 
campus as contained in Doc. T94-060. 

The next item was Awards of Tenure, UMASS Amherst, Boston, Dartmouth and Worcester . Of the 
eleven candidates there was one African-American and five women. Chancellor Scott noted that the 
Amherst cases should read "excellent" in Research as opposed to "strong". It should also be noted that the 
vote by the Executive Council of Faculty for the Worcester case should read "14-0-1"; there was not a vote 
against, but an abstention. It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individuals in the 
following Departments: 

Amherst 

Neal Anderson— Electrical and Computer Engineering 

Yossi Chait— Mechanical Engineering 

Boston 

Judith Goleman— English 
Mary O'Brien— Nursing 
Pamela Jones Rothwell— Art 
Frank Porell— Gerontology 
Nancy Smith-Hefner— English 

Dartmouth 

Helene Fine— Management/Human Resources 

Raymond Laoulache— Mechanical Engineering 

Worcester 

Jon Goguen— Molecular Genetics and Microbiology 

(Doc. T94-056) 

The next item was an A ppointment with Tenure, UMASS Dartmouth . It was moved, seconded and 

VOTED : To concur with the President in the appointment of Dr. Lawrence B. Logan as Associate 
Professor in the Department of Accounting and Finance, with tenure at UMASS 
Dartmouth. (Doc. T94-061) 

President Hooker, Vice Chair Karam and the Chancellors then left to attend the press conference at 
the State House. 

The next item was the Approval of a M.A./Ph.D. in Afro-American Studies, UMASS Amherst . Vice 
Chancellor Story reported on the widespread support for this program and Trustee Poduska commended 
the process of how this program came to exist. It was moved, seconded and 

VOTED : To approve the Stage 1 proposal for a M.A./PH.D. in Afro- American Studies academic 
degree program at UMASS Amherst as contained in Doc. T94-057. 

The next item was the Establishment of the Frederick S. Troy Professorsh ip and Designation of 
Lloyd Schwartz as the Frederick S. Troy Professor, UMASS Boston . Trustee McNeil reported the 
dedication Frederick "Barney" Troy had shown the University as a Professor and as a Trustee and found 
this to be a fitting way to honor him. It was moved, seconded and 



-2- 



i. 



VOTED : To approve the establishment of the Frederick S. Troy Professorship at UMASS 
Boston as contained in Doc. T94-058. 



And further, 



To designate Professor Lloyd Schwartz as the Frederick S. Troy Professor at UMASS 
Boston as contained in Doc. T94-058, Addendum 1. 



Trustee McNeil then reported that the Committee had heard a report on the Ad Hoc Committee on 
Personnel and Diversity and a report on the School-University Collaboration which has faculty and staff 
engaged in over 300 projects that cover all areas of the University. 

She then thanked Ronald Story for all his work as Vice President for Academic Affairs and welcomed 
Allen Sessoms to that position. 

Trustee Haynes then gave the report of the Committee on Administration and Finance. The first item 
was A pproval of the Quasi Endowment Policy . This item had been looked at thoroughly by the 
Investment Subcommittee. Vice President Lenhardt answered questions about the 1% of the book value 
of the endowment set aside for use by the President for development efforts and that any funds left over 
will be re-distributed to the campuses. There was then a general discussion about the details of this 
policy. It was moved, seconded and 

VOTED : To amend the Cash Management Policy (Doc. T92-031, Appendix F) by inserting at the 
end of Part I the following: 

Quasi-Endowment : That the Treasurer's Office may segregate up to 25% of the book 
value of operating cash of the University's portfolio for the purposes of creating a Quasi- 
Endowment. The Quasi-Endowment shall be invested as part of the cash management 
strategy of the University. Earnings from the Quasi-Endowment will be commingled 
with other income generated by the University Treasurer's Office through the Cash 
Management process. 

Equities : The Treasurer's Office is permitted to invest up to 25% of the book value of the 
Operating cash portfolio measured on each June 30 in the equity markets. This segment 
of the portfolio will be subject to the volatility inherent in the equity market. Earnings 
distribution from the equity component of the portfolio will be calculated such that 
earnings are no less than the yield on the fixed income component and no more than the 
combined weighted average yield of the portfolio in a given year. 

And further, 

To amend the Polio/ for Management of University Funds (Doc. T92-031) by inserting after 
the first sentence in Section 12 the following: 

"Annually on June 30 one percent (1%) of the book value of the quasi-endowment will be 
set aside from the Trust Fund Interest earnings for use by the President of the University 
for development efforts. All remaining investment..." 

The next item was Approval of the FY1995 Revenue-Based Trust Fund Budg ets. This item had been 
discussed in detail at the Administration and Finance meeting. It was moved, seconded and 

VOTED : To approve the budgets and fee structures for the FY1995 Revenue-Based Trust Fund 
Budgets at Amherst, Boston, Dartmouth, Lowell and Worcester as described in Doc. T94- 



045, provided that the Medical Center Group Practice Plan and Medical Center Hospital 
budgets shall be considered at a later date. 

And further, to approve associated changes in Statements of Trust for the Amherst 
campus as appear in said document. 

The next item was Revisions to the FY1995 Continuing Education Charges, UMASS Dartmouth . It 
was moved, seconded and 

VOTED : To approve the revised FY1995 Budget and rate schedule for the Division of Continuing 
Education at the Dartmouth campus as contained in Doc. T94-033, Addendum 1. 

The e next item was Revisions t o the Motor Vehicle and Parking Regulations, UMASS Amherst. It 
was moved, seconded and 

VOTED : To approve the revisions to the Motor Vehicle and Parking Regulations at the Amherst 
campus as contained in Doc. T82-023C. 

Trustee Foley then requested that an Ad Hoc Committee of the Board study the Amherst campus's 
towing policy and options that should exist where we can modify the parking necessities of the campus 
and control and manage the University's public relations efforts. This would also provide the University 
a chance to generate income revenue to be used for scholarships, etc. Chair Taylor then asked the 
Administration at the Amherst campus to look at this issue and decide if this is a matter for the Board. 
Trustee Foley suggested this be an item for the Executive Committee in October. 

The next item, a routine matter, was an Authorization for Expenditure of Funds for FY1995 . It was 
moved, seconded and 

VOTED : To authorize the President to expend at the FY1994 rate, state and non-state funds for the 
University from July 1, 1994 until such time as the Board adopts the Operating Budget for 
FY1995. 

Vice President Lenhardt then updated the Board on the HEFA bond bill. The House Ways and 
Means staff has expressed an interest in preparing a bill which will approve each project as separate 
items. This could lead to the Senate to disapprove some of the projects. On a positive note, the Division 
of Capital Planning and Operations (DCPO) is moving forward with many of the capital outlay projects. 

Trustee Reed was then asked to give the Report of the Ad Hoc Committee on Personnel and 
Diversity. The Committee had approved the Affirmative Action Plans and Reporting Format She then 
informed the Board that this Committee would be looking at each campus plan individually. At 
yesterday's meeting, the Committee met to discuss a process to review diversity issues across the 
campuses and the best way of funding them. It is expected a plan will brought back to the Board in 
August. It was moved, seconded and 

VOTED : To approve the Affirmative Action Plans for the University of Massachusetts Amherst, 
Boston, Dartmouth, Lowell and Worcester campuses as contained in Doc. T94-046. 



And further, 



To approve the Affirmative Action Reporting Format as described in Doc. T94-054. 



Chair Taylor then gave the report of the Executive Committee. The first item had been a Waiver of 
Student Trustee Election Policy. UMASS Worcester . It was moved, seconded and 



-4- 



VOTED : To waive the Student Trustee Election Policy deadline date listed in Doc. T91-133B at the 
University of Massachusetts Worcester campus for the 1994 election. 

The next item was Amendment to Worcester City Campus Corporation Articles of Organization . 
This would allow the Corporation to achieve tax-exempt status within the Internal Revenue Service. It 
was moved, seconded and 

VOTED : To approve the amendments to the Worcester City Campus Corporation (WCCC) 
Articles of Organization listed in Doc. T91-121, Addendum III. 

The next item was Hospital Management Board Minutes . It was moved, seconded and 

VOTED : To approve the minutes of the March 23rd and April 27th, 1994 Hospital Management 
Board meetings including the Unaudited Financial Statements for January, February and 
March, 1994 and the appointments and reappointments for February and March, 1994. 
(Doc. T94-066) 

Vice President Boyd then reported on the External Affairs Committee. That Committee heard a 
preliminary report on Technology Transfer Issues which will come back to this Committee at the next 
meeting. There was an update on federal grants and the hiring of a Washington firm to provide 
assistance in identifying opportunities. There had also been updates on fundraising with reference to the 
quasi endowment policy and the University's position on the state budget. 

Trustee Foley then suggested to the Board that the Hospital Finance Committee Report become a 
standard agenda item on the Committee on Administration and Finance. 

Trustee Lewenberg then recapped the activities of campus athletics. Some of the highlights included: 

•at the Amherst campus, Coach Sortino won her 450th career softball game; 

• the Men's Lacrosse team at UM ASS Boston had a great year due to the exceptional work of Jaime 

Mulroney who became the first player in New England Men's Lacrosse history and the fourth 

player in the nation to reach 200 goals; 
•at UMASS Dartmouth, every spring season team finished with winning records. He also noted that 

the Bolivian World Cup soccer team will train at UMASS Dartmouth; 
•at the Lowell campus, Head Baseball coach Jim Stone achieved career win number 500 in a 28 year 

career. Also, the campus is adding Women's soccer to intercollegiate sports in the Fall, 1995. This 

reinforces the University's commitment to women athletes and Title IX. 

Trustee Lewenberg then reported that the Board through the Athletic Committee has continually 
discussed the importance of assuring gender equity in athletic programs. He then reaffirmed that 
commitment and noted that the University is in the process of filing a supplemental budget request for 
expenditures to assist in meeting Title IX needs in the areas of facilities enhancement for women athletes 
on all four of the campuses. He also reported that Chancellor Cressy is in the process of compiling from 
the four campuses, the information necessary to help put together this request. 

Trustee DiCara pointed out that the Dartmouth business community has raised $25,000 to help the 
Bolivian Soccer team. 

Chair Taylor then paid tribute to Ronald Story for the two years of service in the President's Office. 
Some of his accomplishments include the five campus library proposal, system technology task force, 

(report on distance learning, the searches for Chancellor Scott and President Hooker, the Future of 
Engineering Study, the Symposium on Psychology of Adversity/the White Paper on Inter-Campus 
Collaboration, and the Task Force on Research and Graduate Education. 



-5- 



Chair Taylor then thanked the out-going student Trustees, Kevin Tobin, David Cunningham, Eric 
Dickson and Stephanie Siegmann and presented them with University of Massachusetts watches. There 
were then introductions of the incoming student Trustees, Timothy Purdy, Matthew Morrissey and Brian 
Andriolo. 



The meeting adjourned at 10:55 a.m. 






Barbara DeVico 
Staff Assistant 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, August 10, 1994; 9:15 a.m. 

Board Room 

Cumnock Hall 

University of Massachusetts 

Lowell, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, DiCara, Finnerty, Flores, Foley, 
Hoff, Karam, Lewenberg, Oakes, O'Leary, Poduska, Purdy, Spence, Sweeney; Vice President/Secretary to 
the Board Boyd; Ms. Tuthill, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Haynes, McNeil, Morrissey, Reed, Robertson 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
General Counsel Kirby 

Chair Taylor convened the meeting at 9:20 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the June 8, 1994 meeting of the Board. 

Chair Taylor then introduced the new student Trustees who were in attendance. Mr. Taylor went on 
to report that the Board is very pleased with the relationship that has been built with the state and which 
contributed to the success that the University had in this year's budget. Mr. Taylor also noted the signs 
that have indicated growth as a University system. He indicated that in the year ahead, it will be critical 
to identify priorities in order to function within operational realities and position the University for the 
future. 

President Hooker then gave his report and began by commenting on the strength of the University 
community expressed in this year's budget strategy, involving Trustees, Chancellors, students and the 
President's Office. President Hooker went on to say that the Mission Enhancement Funds contributed to 
the expanded activities on each campus, particularly in the area of the three University priorities, which 
also leads toward the prioritization of resources. The challenge for the system this year, the President 
reported, will be the reallocation of resources, and the system participation in the PEW Roundtable 
Project which should greatly benefit the University in this challenge. 

Under the Consent Agenda the following items were moved, seconded and 

VOTED : To accept the following Auditor's Reports: 

•Audit Report No. 94-8, President's Office Expenditures Audit (Doc. T94-049) 

• Audit Report No. 94-9, Folio w-Up Audit - State Auditor's Report on Exercise Science 
Department's Body Shop Operations, UMASS Amherst (Doc. T94-047) 

•Audit Report No. 94-10, Folio w-Up Audit - International Programs Office, UMASS 
Amherst (Doc. T94-048) 



• Audit Report No. 94-11, Contractual Compliance, Campus Bookstore, UMASS Boston 
(Doc. T94-052) 

• Audit Report No. 94-12, Federal Indirect Costs Review, UMASS Boston (Doc. T94-053) 

•Audit Report No. 94-13, Bursar's Office Automated Check-Writing System Follow-Up 
Report, UMASS Boston (Doc. T94-069) 

•Audit Report No. 94-14, State Audit No. 90-6005-9 Follow-Up Report and a Review of 
Parking Garage Administration and Control, UMASS Boston (Doc. T94-070) 

To accept the following External Audit Firm Reports: 

•Audit Report No. 94-19E, Intercollegiate Athletic Program, UMASS Lowell, NCAA 
Report (Doc. T94-050) 

•Audit Report No. 94-20E, Intercollegiate Athletics Program, UMASS Lowell, 
Consolidated Statement of Revenues and Expenditures, (Doc. T94-051), UMASS Lowell 

And further, 

VOTED : To strike out from the declarations page of the self-insurance program, the words "From 
July 1, 1993 to July 1, 1994" and to insert therein the words "From July 1, 1994 to July 1, 
1996"; 

And further, 

To strike out from the declarations page of the self-insurance program, the words 
"$9,000,000 Total Limit for Parts 1 and 2 Combined" and to insert therein the words " 
$12,000,000 Total Limit for Parts 1 and 2 Combined." (Doc. T93-126A) 

In Trustee McNeil's absence, Chair Taylor gave the report of the Committee on Academic and 
Student Affairs. The first item was Awards of Tenure, UMASS Amherst, Boston, Lowell and Worcester . 
It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individuals in the 
following Departments: 

Amherst 

Anne Averill, Entomology 

Yon-Chun Chou, Industrial Engineering & Operations Research 

Jeanette Cole, Art 

Susan Han, Plant & Soil Sciences 

Marcellette Williams, English 

Boston 

Elizabeth Fay, English 
Marietta Schwartz, Chemistry 
Lynne Tirrell, Philosophy 

Lowell 

John Buford, Computer Science 

Robert Karasek, Work Environment 

Efrem Mallach, Manufacturing & Management Information Systems 



-2- 



Margaret Manion, Promotion to Librarian III & Tenure 
Sammy Shina, Mechanical Engineering 
Chris Tilly, Policy & Planning 

Worcester 

Craig Ferris, Psychiatry (Doc. T94-072) 

The next item was A ppointments with Tenure, UMASS Amherst, Boston . It was moved, seconded 
and 

VOTED : To concur with the President in the appointments with tenure to the following 
individuals in the following Departments: 

Amherst 

Arturo Escobar, Anthropology 
Li la Gierasch, Chemistry 
Derek Lovely, Microbiology 

Boston 

Woodruff Smith, History (Dean of the Liberal Arts Faculty in the College of Arts and 

Sciences) 

(Doc. T94-073) 

The next item was Designation of Distinguished Professor, UMASS Amherst . It was moved, 
seconded and 

VOTED : To designate Dr. H. Henning Winter as Distinguished Professor at UMASS Amherst as 
contained in Doc. T94-076. 

Chair Taylor then commented on the next item, Future of Engineering . There had been much 
discussion at the Committee meeting, and he asked Vice President Sessoms to provide background on the 
engineering vote. Vice President Sessoms reminded the Board that the study was established out of a 
need to coordinate the future of engineering due to duplication of programs in the face of budget 
constraints. The recommendations are for the entire system, and they require significant cooperation 
among the campuses. The discussion with the deans and the campus leadership has been very positive, 
and the task force which the vote will establish, will move the University closer to a better and more 
efficient engineering program. It was moved, seconded and 

VOTED : To commend the Engineering Study Team for its outstanding Report on the engineering 
programs of our constituent campuses. 



And, 



To authorize and direct the President to commence implementation of the Report's 
recommendations as follows: 

Individual Campus Implementation of Report Recommendations 5,7,8,10,11,12 

1. To direct each campus to begin implementation of Report Recommendations 5, 7, 8, 10, 
11 and 12. Chancellors shall report to the President and the Board no later than October, 
1995 on steps taken by their respective deans to begin implementation of this set of 
recommendations. 

Collective Implementation of Report Recommendations 1,2,3, 4, 6, 9, 13 



-3- 



2. To appoint a Task Force, to be chaired by the Vice President for Academic Affairs and 
including the engineering deans from Amherst, Dartmouth and Lowell and the Dean of 
the Faculty of Sciences at Boston, and one or more representatives from industry. The 
Charge of the Task Force will be: 1) to develop a long-term plan for the implementation 
of Report Recommendations 1, 2, 3, 4, 6, 9 and 13, and especially for the development and 
allocation of programs, facilities and faculty positions within the System, and, within the 
constraints of limited resources; 2) to invite collaborative proposals in 
telecommunications engineering and other new fields highlighted by the Report; and 3) 
to proceed with the development of a Boston-area undergraduate program through the 
deployment of existing resources. 

In carrying out its charge, the Task force shall work within the following constraints: 

- There should be no new free-standing, single-campus undergraduate or graduate 
engineering programs not already approved by the Board. Exceptions may be 
recommended to the Committee on Academic and Student Affairs only where a campus 
can clearly demonstrate to the satisfaction of the Task Force that it can offer such a 
program without incurring additional costs, or can cover all new costs from internal 
reallocation, including program closures or reductions, and that it can meet standard 
criteria for program approval. 

- Lacking guidance from the Task Force for reallocating engineering resources from 
campuses with excess capacity to campuses with need by the December 7, 1994 Board 
meeting, there should be no net new state-funded faculty positions in engineering within 
the System. An exception to this guideline may occur where the addition of such 
positions is clearly intended to increase faculty diversity and such position is approved 
by the Board. 

- There should be no new engineering facilities except those already initiated and in the 
construction stage. Where possible, facilities already in the construction stage shall 
include full distance education capacity and shall be supported by substantial non-state 
funding. 

The foregoing will be in effect as interim measures until the Board takes other actions in 
light of recommendations made by the Task Force. 

And, 

To direct the President to report on the progress of the Task Force to the Board at its 
December meeting and regularly thereafter. (Doc. T94-074) 

The next item was A pproval of the Master of Arts in Dispute Resolution, UMASS Boston . It was 
moved, seconded and 

VOTED : To approve the Stage II proposal for a Master of Arts in Dispute Resolution at UMASS 
Boston as contained in Doc. T93-028, Addendum 1. 

Chair Taylor turned to Trustee Spence for the report on the Committee on Administration and 
Finance. Trustee Spence began by reiterating the comments of Chair Taylor and President Hooker in 
regards to this year's budget strategy, and noted her pleasure at the particular item on the agenda which 
reflects the University's success this year, the tuition and fee rollback. 



-4- 



Trustee Spence then turned to Trustee Hoff to comment on the item Workforce Redesign Policy, 
UMASS Worcester . Trustee Hoff noted that the Personnel and Diversity Committee was satisfied with 
the report and discussion at their meeting on this policy. It was moved, seconded and 

VOTED : To approve the Workforce Redesign Policy at UMASS Worcester as contained in Doc. 
T93-079, Appendix 1, as amended. Further, to rescind Doc. T83-068A, and all other 
policies (or any part thereof) currently in effect in the University which are consistent 
herewith. 

Trustee Spence then gave the report of the Committee on Administration and Finance. The first item 
had been FY1995 Student Fees . It was moved, seconded and 

VOTED : To approve the revised Curriculum Support Fee rates for FY1995 at the University of 
Massachusetts Amherst, Boston and Lowell campuses: 

Current FY95 Fee Revised FY95 Fee 

Amherst $2,138 $2,031 

Boston $1,814 $1,780 

Lowell $2,736 $2,646 

(Doc. T94-033, Addendum 1) -- 

The next item was the FY1995 State Appropriation Allocations . President Hooker noted that the. 
process of allocating state funds was an iterative one involving several meetings with the campus ' 
Chancellors. It was moved, seconded and 

VOTED : To approve the following FY95 state appropriation allocations: 

Amherst $163,973,085 

Boston 60,446,943 

Dartmouth 33,517,605 

Lowell 52,434,468 

Worcester 24,021,795 

Institute for Governmental Services 517,189 

TOTAL $334,911,085 

Further, to authorize the President to make adjustments to the campus allocations for 
support of the President's Office and Central Administrative Services to be reflected in 
the final allocation schedule submitted to the state. (Doc. T94-078) 

The next item was the Learning Center, UMASS Worcester. Trustee Spence noted the significance of 
this project for the Medical School, particularly as a fundraising effort, and Chancellor Lazare briefly 
described the structure. It was moved, seconded and 

VOTED: To approve the construction of the Learning Center at the University of Massachusetts 
Medical Center. (Doc. T94-079) 

Trustee Spence asked Vice President Lenhardt to comment on the capital strategy. Vice President 
Lenhardt noted that the administration is working on an alternative strategy for financing up to $15 
million for capital projects, possibly through the Building Authority. 



-5- 



Trustee Lizana then commented on the Rollback of the Student Fees and the importance of the 
Board's vote, calling it a milestone for all public institutions, and he further noted that this issue is the 
most important to students. He further praised the strategy used in this year's budget efforts, and 
reiterated the need to be as coordinated in the next budget session. 

Chair Taylor then gave the report of the Executive Committee. The first item was Amendments to 
the By-Laws, and Chair Taylor noted that these changes reflect the current practices of the Board and 
committees. It was moved, seconded and 

VOTED : To approve the following amendments to the By-Laws of the Board of Trustees of the 
University of Massachusetts (Doc. T91-100): 

Article EL Meetings of the Board, is hereby amended by the following: 

Section 2. Notice 

(b) by striking the word three and inserting the word two. 

Section 4. Consent Agenda 

By striking the word Trustee in the first sentence and inserting the words Committee 

members; 

By striking the word member in the third sentence and inserting the word Trustee. 

Section 6. Order of Business 

By striking V. Committee of the whole and inserting the words Consent Agenda; 
By striking VI. Reports of Special Committees; 
By striking VII. Status of Pending Matters. 

Section 7. Executive Sessions 

(a) By striking the words in advance of the meeting in the second sentence and inserting 

the words before the executive session. 

Article HI. Committees of the Board, is hereby amended by the following: 

Section 2. Members of the Standing Committees 

(c) By adding the word voting before member ex officio. . . 

Section 3. Committee Meetings 

(d) By striking the word Joint Meetings and inserting Assignment of Agenda Items/Joint 
Meetings. 

Section 4. Agenda of Committee Meetings. 

By adding the word the in the fourth paragraph after the word By and before President. 

Section 5. Responsibilities of Standing Committees 

By striking said Section and replacing it with the following: 

The Chair may appoint sub-committee(s) of any standing committee to assist the full 
committee in carrying out its duties and responsibilities. Said sub-committees shall be 
assigned to a full standing committee. 

(a) The Executive Committee shall have the responsibility of considering, reviewing, and 
making recommendations to the full Board on matters affecting the Board, the University 
and its general administration including but not limited to: 



i. appointment of the President and concurrence in the President's appointment of 

Chancellors; 

ii. honorary degree candidates; 

iii. master plans of the University and recognition of governance bodies; 

iv. any other matters which the Chair or the President with the approval of the 

Chair wishes the committee to consider. 

(b) The Committee on Academic and Student Affairs shall have the responsibility of 
considering, reviewing and making recommendation to the full Board on matters 
concerning academics and students at the University including but not limited to: 

i. policies involving academic programs and research, including the quality, 

character, and scope of instruction and research, admissions, financial aid, 
graduation, curriculum, degrees, support programs, and public service activities; 

ii. policies involving student affairs, activities and services; 

iii. policies involving faculty status other than collective bargaining issues or 

personnel policies; 

iv. President's recommendations for award of tenure. 

(c) The Committee on Administration and Finance shall have the responsibility of 
considering, reviewing, and making recommendations to the full Board on matters 
relative to the administrative operation and fiscal management of the University 
including but not limited to: 

i. the annual state budget request and the annual operating budget including the 

allocation of funds to the campuses and other operating units of the University; 

ii. the annual financial statement(s) of the University and the campuses; 

iii. tuition and fees and student fee and major trust funds budgets; 

iv. investment policies, grants and contracts policies and compensation policies; 

v. property, real and personal of the University including its acquisition, 

disposition, management and control; 

vi. capital budgets and bond financing; 

vii information technology policies and plans; 

viii. personnel matters including policies on personnel, labor relations and collective 
bargaining policies and agreements; 

ix. affirmative action policies and implementation. 

(d) The Athletic Committee shall have the responsibility of considering, reviewing and 
making recommendations to the full Board on matters concerning intercollegiate athletics 
at the University including but not limited to: 



-7- 



i. master athletic plans including athletic affiliations and overall athletics 

development; 

ii. policies involving athletic departments, activities and services. 

(0 The Audit Committee shall have the responsibility of considering, reviewing and 

making recommendations to the full Board on matters relative to financial control and 
auditing of the University including but not limited to: 

i. initiation of audits; 

ii. audits of the University and its components and affiliates. 

In addition, the Audit Committee shall have the final authority to review and approve 
the selection of external audit firms and the deployment of auditors pursuant to the 
Audit Protocols. 

(e) The External Affairs Committee shall have the responsibility of considering, 

reviewing and making recommendations to the full Board on matters relative to the 
University's relationships outside the University including but not limited to: 

i. fundraising and development policies and initiatives; 

ii. government relations and advocacy; 

iii. policies and initiatives concerning economic development, technology transfer, 

industry partnerships and sponsorships. 

The next item was the Department of Defense Exclusion List. It was moved, seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the 
Secretary and the designated Facility Security Officer meet the personnel 
clearance requirements established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion 
from the personnel clearance requirements of certain members of the Board 
of Trustees and other officers, provided that this action is recorded in the 
minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, 
the President, the Secretary and the designated Facility Security Officer at the 
present time do possess or will be processed for the required security 
clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively excluded 
from access to all classified information in the possession of the corporation 



> 



and do not occupy positions that would enable them to affect adversely 
policies or practices in the performance of classified contracts for the 
Department of Defense or the User Agencies of its Industrial Security 
Program: 



I 



NAME 


TITLE 


Brian Andriolo 


Trustee 


Daniel E. Bogan 


Trustee 


Derek C. Bok 


Trustee 


Lawrence S. DiCara 


Trustee 


Joseph S. Finnerty 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


Robert J. Haynes 


Trustee 


Charles Hoff 


Trustee 


Robert S. Karam 


Trustee 


Peter K. Lewenberg 


Trustee 


Arnold J. Lizana, III 


Trustee 


Ogretta V. McNeil 


Trustee 


Matthew Morrissey 


Trustee 


Gordon N. Oakes, Jr. 


Trustee 


James F. O'Leary 


Trustee 


J. William Poduska, Sr. 


Trustee 


Timothy Purdy 


Trustee 


Mary L. Reed 


Trustee 


Piedad F. Robertson 


Trustee 


Rina K. Spence 


Trustee 


Timothy Sweeney 


Trustee 


roval of the Hospital Manae 


ement Board Minutes 



> 



expected the Board will approve the Hospital Budget at the October meeting. It was moved, seconded 
and 

VOTED : To approve the minutes of the May 18, 1994 Hospital Management Board minutes 
including the Unaudited Financial Statement for April, 1994, and the appointments and 
reappointments for April, 1994. 

And further, to approve the Medical Staff By-Laws changes which had been approved by 
the Hospital Executive Committee. (Doc. T94-080) 

The next item was the approval of an Honorary Degree. UMASS Boston . It was moved, seconded 
and 

VOTED : To award an honorary degree to that individual agreed upon in Executive Session and to 
instruct the Chancellor to proceed with the necessary arrangements. 

In the absence of Trustee Haynes, Vice President Lenhardt reported that the Audit Committee had 
selected the outside auditor for UMASS Boston, and that at the October meeting, the Board will receive 
the audit plan for 1994-95. 

Under Other Business . Chair Taylor turned to Chancellor Scott who introduced two new Vice 
Chancellors: Provost Patricia Crosson and Frederick Byron, Vice Chancellor for Research and Graduate 
Education. 



* 



Chair Taylor then announced that Trustee Flores would reactivate the previously established 
Infrastructure Committee. Chair Taylor also announced the membership of the Nominating Committee 
as Trustees Haynes, Chair; Trustees DiCara, Finnerty and Reed. The Committee is charged with 
nominating candidates for election as officers of the Board of Trustees and as chairs of the standing 
committees. 

There being no further business to come before the Board, the meeting adjourned at 10:00 a.m. 




Elizabeth H. Tuthill 

Assistant Vice President for Board Relations 



> 



-10- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
BOARD OF TRUSTEES 

Friday, September 23, 1994; 3:00 p.m. 

Faculty Conference Room 

Medical Center 

University of Massachusetts 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Foley, Haynes, Karam, Lewenberg, McNeil, 
O'Leary and Sweeney; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Bogan, Bok, DiCara, Finnerty, Flores, Hoff, Lizana, Morrissey, Oakes, 
Poduska, Purdy, Reed, Robertson and Spence 

University Administration : President Hooker; Chancellor Lazare; General Counsel Kirby 

Chair Taylor convened the meeting at 3:15 p.m. noting that over the past year, the Medical Center 
Administration has been involved in long-range planning in light of the tremendous changes occurring in 
health care. The process has involved the campus administration, the President's Office, APM, Inc. 
consultants and the Trustees beginning with a lengthy and eye-opening meeting in August, 1993. After 
becoming Chair, Mr. Taylor appointed a Trustee Task Force to work with the President and Chancellor, 
chaired by Vice Chair Karam. During the past year, Trustee Karam has met with administrators, 
consultants, and Board members from potential partner hospitals. 

Chair Taylor went on to say that in addition to the external negotiations the planning process made 
clear that we must also focus on internal operations, and Trustee Karam worked closely with Chancellor 
Lazare and Vice President Lenhardt on the Hospital and Group Practice budget. On behalf of the Board, 
Chair Taylor thanked Trustee Karam for the extensive work he has done for the Medical Center. Chair 
Taylor identified that another aspect of internal work is the need to focus on how decisions are made, and 
realizing the opportunities while avoiding risk. The consultants and Chancellor Lazare have advised that 
the Board needs a cohesive, integrated clinical system with one chief executive to oversee all clinical 
operations internally and represent all clinical operations externally. Chair Taylor then called on Vice 
Chair Karam. 

Trustee Karam commented on the extensive work that he had been involved in over the past year, 
and congratulated Chancellor Lazare and his staff, the consultants, and the strategic planning staff for 
making these changes to adapt to the changing climate. He reflected on the issues that impact on the 
Medical Center, including insurance rates and finances. Trustee Karam noted that the goal is to reduce 
costs by $40 million over the next 3-4 years while retaining quality and service, which will be made 
possible with the proposed changes. He offered thanks to the Chairman of the Hospital Management 
Board, Joseph Benedict, indicating the importance of Mr. Benedict's work and influence in building the 
Medical Center. 

Chair Taylor then called on President Hooker. President Hooker reflected on the learning experience 
he has had regarding teaching hospitals from Chancellor Lazare, and thanked the Chancellor for looking 
at the future of medical education and the hospital, based on extensive change in the market place and 
increased competition. The greatest challenge, he said, was to reduce the costs while maintaining and 
increasing the quality of care. President Hooker then thanked Trustee Karam, Chancellor Lazare and 
General Counsel Kirby for all of their work on this restructuring. 



Chancellor Lazare then spoke to the tripartite mission: education, research and clinical care. He 
noted that there had been crises in the first two areas that had been rectified over the past two years with 
changes in curriculum, governance, and administration. The changes in the area of clinical care has called 
for radical changes which would not have been possible without the support of the Trustees, and the new 
Clinical Management Board will bring the Board of Trustees to a greater level of involvement as well as 
establish strong leadership from a new Deputy Chancellor for Clinical Affairs. Chancellor Lazare 
thanked Mr. Benedict and Dr. Frieswick for their strong leadership over the years, particularly these past 
few years of change. Chancellor Lazare then called on the following people to speak: Mr. Benedict, Dr. 
Arthur Pappas, Dr. William Lavelle, Dr. David Giansiracusa (speaking for Dr. Blacklow), and Dr. Gail 
Frieswick. 

Chair Taylor then moved to the action items, the first being Revisions to the By-Laws of the 
Clinical Operations of the UMASS Medical Center . Chair Taylor noted that with this vote, the by-laws 
expand the focus of the Hospital Management Board to include clinical operations. Mr. Taylor further 
noted that these changes increase the involvement of the UMASS Trustees, who, in turn, will also involve 
physicians and the community more closely. He again expressed thanks to Mr. Benedict for his 
dedication to the Medical Center and work as the Chair of the HMB. Chancellor Lazare asked that the 
Board entertain future changes in the by-laws and other Medical Center policies to fully include all 
concerns of the Medical Center community and complete the integrated clinical system strategy. 

It was moved, seconded and 

VOTED : 

WHEREAS, the Worcester Campus (Medical Center) administration and its expert consultants have 
spent the past year in an intensive study and long range planning process; 

WHEREAS, changes in health care delivery nationally and in central Massachusetts require rapid, 
effective decision-making concerning clinical operations at the Medical Center; 

WHEREAS, the Chancellor, President and Trustees would find it helpful to have a group of 
dedicated individuals regularly involved in overseeing the total clinical operations and activities of 
the Medical Center which comprise approximately forty percent of the University's annual operating 
budget; 

NOW THEREFORE BE IT RESOLVED, to adopt the attached By-Laws of the Clinical Operations of 
the University of Massachusetts Medical Center which substantially amend and supersede Sections I 
and II through Article rV, Part C of the former By-Laws of the Hospital (Doc. T78-093, as amended) 
and which establish a Clinical Management Board to oversee all clinical operations of the Medical 
Center; 

PROVIDED FURTHER, to request the Chair of the Clinical Management Board, the Chancellor of 
the Medical Center and the Deputy Chancellor for Clinical Affairs to make recommendations to the 
Board prior to its October meeting of Medical Staff and community members for appointment to the 
Clinical Management Board; and 

PROVIDED FURTHER, to express the Board's deep gratitude to the members of the Hospital 
Management Board and the Chairman, Joseph Benedict for their important service to the University 
and especially the Worcester campus over the past years. 

This action shall become effective immediately provided, however, that the former Hospital 
Management Board shall continue in effect until October 31, 1994 to permit a smooth transition with 
the new Clinical Management Board. (Doc. T94-099) 



-2- 



And, it was moved, seconded and 

VOTED : To appoint George McClelland as Chair of the newly constituted Clinical 
Management Board. (Doc. T94-101) 

Trustee Foley commented on the extraordinary leadership of Mr. McClelland over the past few years, 
and the Board's confidence in his new role as Chairman of the new Board. 

And further, it was moved, seconded and 

VOTED : 

WHEREAS, the Worcester campus (Medical Center) administration and its expert consultants have 
spent the past year in an intensive study and long range planning process; 

WHEREAS, the changes in health care delivery and in payment methods nationally and particularly 
in central Massachusetts call for integrated health care delivery systems incorporating all forms of 
health care; 

WHEREAS, the Medical Center needs an efficient internal clinical system speaking in a single voice 
in negotiations and discussions with external contractors (primary care physicians, hospitals etc.) and 
payers in order to compete as part of an integrated delivery system; 

NOW THEREFORE BE IT RESOLVED, upon recommendation of the Chancellor of the Medical 
Center and with the concurrence of the President, to appoint Arthur R. Russo, M.D. as Deputy 
Chancellor for Clinical Affairs to act as the chief executive officer of all clinical operations of the 
Medical Center. Dr. Russo shall have primary responsibility for all clinical operations including, but 
not limited to personnel (recruitment, assignment and evaluations of all clinical professionals), 
finances (income and expenditures) facilities and planning. Examples (non-inclusive) of the 
responsibilities and duties of the Deputy Chancellor for Clinical Affairs include: 

overall clinical strategic planning 

development and oversight of a clinical investment fund 

planning for purchasing of and partnering with other clinical facilities 

oversight of managed care strategy and contracts 

planning and management of clinical affiliations and strategies 

coordination of UMMC external residencies in collaboration with the Office of the Dean 

development and management of the budgetary process for the clinical entities (hospital, 

group practice, others) for presentation to the Campus Management Board and the Board 

of Trustees 

development of the clinical budget for clinical departments and participation in 

developing combined budgets (includes education and research) for clinical departments 

with the Chancellor, Dean, Vice Chancellor for Research, and Vice Dean for Medical 

Education. 

determination of administrative reimbursement in consultation with the Chancellor 

setting priorities for capital investment for the clinical system 

allocation of clinical space, staff, and other resources 

development of productivity and incentive standards for clinical faculty in consultation 

with clinical chairs 

oversight of the optimal size and discipline of clinical faculty with special reference to 

recruitment in consultation with clinical chairs 

departmental allocation of residents and fellows in collaboration with the Dean's office 

management of global fees and related pricing strategies 



oversight of overall quality and customer satisfaction 

determination of Clinical Centers of Excellence 

management of combined medical information systems for the clinical system. 

Provided further, that Dr. Russo shall report to the Board and/or its appropriate committees as 
directed by the Chair and President concerning his plans for the clinical operations of the Medical 
Center as soon as possible after he has met with the newly established Clinical Management Board 
and conferred with appropriate Medical Staff. Such report shall include any recommendations for 
additional Board action to modify clinical operations By-Laws, Group Practice rules or regulations, 
Medical School governance document or any other documents that have been superseded by this 
action. 

This action shall become effective immediately and it shall supersede any contrary provisions of pre- 
existing trustee documents including but not limited to T81-024C, T78-093 (as amended) and T79- 
042B. (Doc. T94-102) 

And, it was further 

VOTED : To reconstitute the membership of the Worcester City Campus Board of Directors as 
follows: 

Arthur R. Russo, Gail Frieswick, Stephen Lenhardt and Derrick Hollings to serve as 
directors with Dr. Russo as President, Mr. Lenhardt as Treasurer, and Mr. Hollings as 
Clerk. 

And further, 

VOTED : To amend the Self-Insurance Trust Governance Document (T90-056) as follows: 

Paragraph 3 is amended by inserting the word "University" before "Investment Policy" 
and the words "and the Board of Trustees" at the end thereof. 

Paragraph 5 is amended by inserting 'The Chancellor, the President and" after "to". 

The membership of the Management Committee and the Claims Committee is amended 
to add the Deputy Chancellor for Clinical Affairs as a member. 

Paragraph numbered 1 under the subheading Underwriting Functions is amended by 
adding "The Committee will submit proposed changes in the Program to the Board of 
Trustees for approval". 

Chair Taylor then called on Dr. Arthur Russo. Dr. Russo expressed his thanks to the Board, the 
President, the Chancellor and his colleagues for their support and for the opportunity for the Medical 
Center to grow and respond to the changing world of medicine and health care. He thanked Dr. Pappas 
for his work which set the stage for this restructuring and also thanked Dr. Frieswick, Dr. Michael Green, 
Dr. Blacklow, and Dr. Lavelle. Dr. Russo further recognized the extensive efforts of the Trustee Task 
Force, particularly Trustees Karam, Taylor, Lewenberg and Foley, and the work of the President's Office 
Staff. He then expressed his thanks to all of the clinical chairs. He recognized the importance of 
integrating the clinical operations within the educational system to advance primary care, and noted the 
commitment of the institution to quality care at low cost providing access to people in need. 

Chair Taylor then noted that another member of the Trustees had joined the meeting and, having 
read all of the motions, should have the opportunity to cast a vote. Chair Taylor then asked for a motion 
to ratify all five votes previously taken. 



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1 It was moved, seconded and 

VOTED; To adopt all five votes previously set forth. 
Chair Taylor adjourned the meeting at 3:55 p.m. 



Elizabeth TuthillFarrell ^ A 
Assistant Vice President for 
Board Relations 



I 



-5- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, October 5, 1994 

V.I.P. Room 

Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Bok, DiCara, Finnerty, Flores, Foley, 
Hoff, Karam, Lewenberg, Lizana, Morrissey, Oakes, O'Leary, Purdy, Reed, Robertson, Spence, Sweeney; 
Vice President /Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Haynes, McNeil, Poduska 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
General Counsel Kirby 

Chair Taylor convened the meeting at 9:30 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the August 10, 1994 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Taylor noted that the University's quest 
for external funding to advance the mission had been very successful in the month of September with 
$19.8 million granted. He identified some of the particular grants, encouraged the campuses to continue 
to pursue such extraordinary grants, and congratulated those who had been successful in achieving this 
level of funding. 

The next item on the agenda was the President's Report . The first area of President Hooker's Report 
was the FY96 budget and he said that the request reflects the recommendations of the pending Fair Share 
Funding Task Force legislation. The President then reported on the PEW Roundtable discussions which 
have been held, saying that there is a great deal that has been discussed and much more needs to be 
shared in order to bring everyone into the same assumptions. President Hooker then discussed the 
possibility of the Amherst campus moving into Division 1A in football, citing the fact that all of the 
campus's aspirant peers have Div. 1A football, and that those campuses use football to cultivate their 
community, their alumni, their legislatures, and their Governors. Two important considerations are 
joining a current football conference and continuing to improve on the campus's Title IX standing. Lastly, 
the President noted that there is currently some significant resource sharing among two campuses- 
Boston and Lowell—who are sharing faculty from certain engineering programs. 

Chair Taylor then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #1-9 on the Board Consent Agenda: 

To approve the FY1995 Hospital Operating Budget as contained in Doc. T94-045, 
Addendum 1. 

And further, 



And, 



To reaffirm the following vote taken by the Board on February 3, 1993: 

The University of Massachusetts Medical School Teaching Hospital Trust Fund 
reasonably expects to reimburse, from the proceeds of debt to be incurred by the 
University expenditures to be advanced for the following project: real estate and 
equipment acquisition and building construction, improvements and renovation for the 
Cancer Program, the Joseph T. Benedict Building and the Worcester City Campus. The 
maximum principal amount of debt expected to be issued for such project, including for 
reimbursement purposes is $16.1 million. 



To approve the FY96 State Budget Request Guidelines which will be utilized in 
developing a request to the state for support in the next fiscal year. (Doc. T94-097) 



And further, 



To authorize the President to prepare and submit the FY96 State Appropriation request 
using approved Budget Request Guidelines and in consultation with the External Affairs 
Committee. 



And, 



To accept the FY1994 Treasurer's Investment Report as contained in Doc. T94-091. 

And further, 

To amend the Cash Management Policy by striking the following: 

IV. Investment Banks: 

6. The institution must adhere to the University's policy on Investment which states 
"The University will not invest in any company or lending institution which, either 
directly or through its subsidiaries or affiliates, does business in or with the Republic 
of South Africa or in countries with similar apartheid racial policies." 



And, 



To add the following language: 

III. Investment Policies and Restrictions: 

k. Equities - Equity securities may be purchased such that this segment of the portfolio 
does not exceed 25% of the total portfolio value. External portfolio managers will 
manage this segment of the portfolio. Portfolio weighted average quality will be 
maintained at no less than A. 



And further, 



To approve the amendments clarifying existing activity or grammar listed in Doc. T92- 
031, Appendix F, as amended. 



And, 



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To approve the amendments to the Medical Malpractice Trust Investment Policy listed in 
Doc. T90-056A, as amended. 

And further, 

To approve the Policy on Mobile Telecommunications Device as listed in Doc. T94-030. 
And, 

To approve the Policy on Individual Transaction Funds Control as listed in Doc. T94-031. 

And further, 

To authorize the Chancellor of the Worcester campus, with the approval of the Division 
of Capital Planning and Operations, to lease for five years approximately 33,400 net 
usable square feet of office space near the Worcester campus for the use of the Group 
Practice Plan, Information Resources Department and Continuing Medical Education. 



And, 



To authorize the Chancellor of the Worcester campus, with the approval of the Secretary 
of Administration and Finance, to lease for five years approximately 4,500 square feet of 
space near the Worcester campus in order to operate a satellite clinic in Psychiatry. (Doc. 
T94-093) 

And further, 

* That the income from the Murray Lincoln Fund be transferred into the President's 

Program Fund to be expended in accordance with the guidelines for such Fund set forth 
in Doc. T94-098. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee DiCara, who chaired that meeting in the absence of Trustee McNeil, reported for the Committee, 
and introduced the first item, Associate of Science Degree, UMASS Amherst . It was moved, seconded 
and 

VOTED : To approve the Associate of Science Degree with Individual Concentration (Stage II) 
academic degree program at UMASS Amherst as contained in Doc. T94-085. 

The next item on the agenda was the Joint Ph. D. in Nursing, UMASS Boston and UMASS Lowell . 
It was moved, seconded and 

VOTED: To approve the joint Ph.D. in Nursing (Stage I) academic degree program at UMASS 
Boston and UMASS Lowell. (Doc. T94-086) 

The next item on the agenda was the A ppointment with Tenure, UMASS Dartmouth . It was 
moved, seconded and 

VOTED: To concur with the President in the appointment of Dr. Benjamin Taggie as Professor in 
the History Department, with tenure at UMASS Dartmouth. (Doc. T94-087) 

The next item on the agenda was the Termination of Faculty, UMASS Lowell . Trustee DiCara 
reminded the Board that this vote is a requirement in the faculty contract at that campus. It was moved, 
seconded and 



-3- 



VOTED; To authorize the Chair of the Board to send notice of termination effective May 31, 1995 
to faculty members at UMASS Lowell as contained in Doc. T94-089. 

Chair Taylor then called on Mr. Frank Olbris who had requested to speak before the Board. Mr. 
Olbris not being present, Chair Taylor turned to Trustee Spence to report on the Committee on 
Administration and Finance. Trustee Spence noted that several of the items from her Committee had 
been voted on the Consent Agenda, and the first item for action was the FY1995 Operating Budg et. 
Trustee Spence noted that the Committee had heard reports from the Chancellors and from University 
Budget Director Valerie Uber. It was noted that this budget does not include the Group Practice Budget 
of the University Hospital. It was moved, seconded and 

VOTED: To approve the FY1995 Operating Budget for the Amherst, Boston, Dartmouth, Lowell 
and Worcester campuses, the Maurice Donahue Institute for Governmental Services, the 
President's Office and Central Administrative Services as contained in Doc. T94-062. 

The next item on the agenda was Capital Financing . Trustee Spence reminded the Board that these 
projects have been before the Board for some time, and deal with substantive and important capital 
projects; Trustee Spence further thanked Trustee Flores for his previous work on the five campus' 
infrastructure which laid the groundwork for this effort. It was moved, seconded and 

VOTED : WHEREAS, University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, to 
provide dormitories, dining commons and other buildings and structures for the use of 
the University of Massachusetts (the "University"), its students, staff and their 
dependents and certain organizations related to the University, to alter, enlarge, 
reconstruct, remodel and do other work in or upon or respecting any building or 
structure, to provide and install furnishings, furniture, machinery, equipment and 
facilities in or for or related to any such building or structure and to initiate projects for 
such purposes upon written request made by authority of the Trustees (the 'Trustees") of 
the University and upon written approval from the Commissioner of Administration and 
the Chancellor of the System of Public Higher Education (the "Chancellor"); and 

WHEREAS, in the judgment of the Trustees it is in the best interests of the University, its 
students, staff and their dependents and said organizations that the Authority initiate the 
projects described by the following: 

NOW THEREFORE, BE IT RESOLVED THAT: 

1. The President of the University be and he hereby is authorized in the name and 

on behalf of the Trustees to make a written request of the Authority that the 
Authority initiate the projects set forth on Schedule A attached hereto. 

(a) any or all of the projects set forth on Schedule A attached hereto; and 

(b) any other renovation, repair, remodeling or other work in or upon or respecting 
any building or structure owned or used by the University or the Authority, or 
the provision, installation, renovation, repair or remodeling of or other work 
upon or respecting any furnishings, furniture, machinery, equipment or facilities 
with respect to any such building or structure, all as may be requested of the 
Authority in writing from time to time by the President or Vice President and 
Treasurer of the University, the making of any such request being hereby 
authorized; 



2. The projects to be initiated by the Authority in accordance with the request 
authorized to be made in Section 1 of this resolution may in the discretion of the 
Authority be undertaken separately or together for financing purposes; and 

3. The President of the University and all other officers of the University be and 
they are and each acting singly is authorized and directed to request the 
Commissioner of Administration and the Chancellor to approve in writing the 
undertaking by the Authority of the projects a request for which is hereby 
authorized and to do such other things and to take such other action as to the 
officer or officers so acting shall, as conclusively evidenced by their taking the 
action hereby authorized, deem necessary or desirable to be done or taken to 
carry into effect the matters hereby authorized. (Doc. T92-118, Addendum 6, Part 
Three) 

The next item on the agenda was the Authorization for Intercampus Loan or Initiation of Project 
with SMU Building Authority . Trustee Spence noted that this is related to the capital finance vote and is 
taken separately due to the immediate needs of the campus. It was moved, seconded and - 

VOTED: WHEREAS, there is an immediate need to repair steam lines at the Dartmouth campus, 

NOW THEREFORE BE IT RESOLVED, 

The President of the University is authorized (1) pursuant to Doc. T92-031 to approve an 
inter-campus loan to the Dartmouth campus from the University's cash float in an 
amount not to exceed $600,000, to be repaid with interest at the prime rate of interest to 
be determined by the University Treasurer, from the proceeds of the University of 
Massachusetts Building Authority bonds to be issued for emergency capital needs; or (2) 
to make a written request of the Southeastern Massachusetts University Building 
Authority to initiate a project for repair of the steam lines. In the event that the project is 
initiated by the Authority in accordance with this resolution the President and all other 
officers of the University be and they are and each acting singly is authorized and 
directed to request the Commissioner of Administration and the Chancellor of HECC to 
approve in writing the undertaking by the Authority of the project, a request for which is 
hereby authorized. 

The President is authorized to do such other things and to take such other action as he 
deems necessary or desirable to carry into effect the matters herein authorized. 

The next item on the agenda was the Report of the Committee on Athletics. Trustee Lewenberg 
reported that there were no items brought for action. The Committee received annual reports from the 
Athletic Departments which contained information about the student athletes and the departments, 
including all academic statistics. They also discussed what the most useful format for these reports 
should be. Another item discussed at the meeting was the Lowell Arena. Trustee Lewenberg noted that 
the Committee requested information that would help them reconcile the various reports to make an 
informed evaluation of the financial needs for any arena project and further, the Committee agreed that 
the campus should move forward in negotiations with the City on the understanding that no decision 
will be made until the Committee is satisfied that the fiduciary interests of the University are fully 
protected. 

The next item on the agenda was the report of the Executive Committee. The first action item was the 
Hospital Management Board Minutes . It was moved, seconded and 



-5- 



VOTED : To approve the minutes of the June 22, 1994 Hospital Management Board minutes 
including Unaudited Financial Statement for June, 1994, and the appointments and 
reappointments for May, 1994. (Doc. T94-095) 

The next item on the agenda was the A ppointments to the Clinical Management Board. UMASS 
Worcester . Chair Taylor noted that at the Special Board Meeting on September 23, 1994 action was taken 
on the recommendation of Chancellor Lazare to replace the Hospital Management Board with a Clinical 
Management Board to oversee all clinical operations of the Medical Center. This new Board brings a 
greater involvement of the University's Board, and George McClelland who has served as the Chair of the 
Finance Committee and been instrumental in the restructuring of the Medical Center will be the Chair of 
the new Board. Another item was the appointment of Dr. Arthur Russo as Deputy Chancellor for Clinical 
Affairs and will be CEO of combined Clinical Operations of the Hospital and Group Practice. These 
actions reflect necessary changes to the governance structure and administrative structure as the Medical 
Center prepares for the many future changes in the medical field. Chair Taylor also thanked Trustee 
Karam for all of the work of the Medical Center Task Force. 

Chair Taylor then moved the action item, it was seconded and 

VOTED: To appoint the following members to the University of Massachusetts Clinical 
Management Board: 

Medical Staff Member 
Dr. William Lavelle 

Community Members 
Ms. Barbara Greenberg 
Ms. Mary Lee King 
Mr. William Kelleher 

Trustee Members 
Michael T. Foley, M.D. 
Robert J. Haynes 
Robert S. Karam 
Peter K. Lewenberg 
Daniel A. Taylor 

Ex Officio 

Aaron Lazare 

Arthur Russo 

Joseph Benedict 

Michael Hooker (or designate) 

(Doc. T94-104) 

The next item on the agenda was the Naming of the Library UMASS Amherst . Chair Taylor noted 
that Dr. Randolph Bromery, former Chancellor of the Amherst campus, spoke to the Executive 
Committee yesterday as Chair of the fundraising committee for the naming of the library for W.E.B. 
DuBois and as a strong supporter of the action; Chair Taylor also recognized that Dr. Bromery was in 
attendance at the Board meeting. 

It was moved, seconded and 

VOTED: To name the library on the Amherst campus in honor of W.E.B. DuBois. (Doc. T94-096) 

The next item on the agenda was the Report of the External Affairs Committee. Trustee Karam noted 
that the Committee will be meeting on October 18 for an in-depth discussion of the strategy for the FY96 



State Budget Request Vice President Boyd further stated that on the agenda for the October 18 meeting 
will be the University's proposed legislation. Trustee Spence then noted that at the Committee on 
Administration and Finance, it was discussed that the A&F and External Affairs Committees need to 
work closely together, as they did last year, to effectively manage the budget request. 

The next item on the agenda was the report of the Medical Center Task Force and the action item, 
University of Massachusetts T eaching Hospital and Marlborough Metrowest Health Systems. Inc. 
Trustee Karam noted that the Task Force met on September 23 to discuss negotiations between the 
University hospital and other area hospitals. Chancellor Lazare informed the Committee of the 
background to the negotiations in the vote, specifically the revenues that are anticipated. Trustee Karam 
further noted that the Medical Center Task Force responsibilities will be fully covered by the activities of 
those Trustees serving on the Clinical Management Board. 

Chair Taylor then recognized the efforts of Trustee Karam and other Board colleagues who worked 
extensively on the Medical Center changes, and also thanked Chancellor Lazare and his staff for all of 
their work. Chair Taylor also thanked Trustee Bok for his extensive work on the Lowell campus. Both of 
these intensive studies have revealed the many resources and great dedication of Trustees and staff alike. 

It was moved, seconded and 

VOTED; To authorize and approve negotiations regarding the collaborative proposal described in 
the letter of intent dated May 31, 1994 between the University of Massachusetts Teaching 
Hospital and Marlborough Metrowest Health Systems, Inc. (Doc. T94-103) 

The next item on the agenda was the report of the Nominating Committee and the approval of the 
Officers and Committee Chairs of the Board of Trustees . Trustee DiCara, reporting for Committee 
Chair Haynes, noted that the Committee, having heard suggestions from many Board colleagues, makes 
the recommendation that the Committee chairs not be changed at this meeting. 

It was moved, seconded and 

VOTED; To confirm and approve the Officers and Committee Chairs of the Board set forth in Doc. 
T94-100, all to serve until the next annual meeting of the Board. 

Chair Taylor then thanked Chancellor Scott for the hospitality shown by the campus over the past 
two days. Chair Taylor recognized Gordon Oakes who has asked to not be reappointed to the Board at 
the expiration of his term, and thanked him for all of his activities on behalf of the University for the past 
10 years. He then stated that the entire Board will continue to depend on Gordon's insight in future 
years. 

The next item on the agenda was Honorary Degrees. Chair Taylor made the motion to go into 
Executive Session. Chair Taylor voted for the motion as did Trustees Andriolo, Bogan, Bok, DiCara, 
Finnerty, Flores, Foley, Hoff, Karam, Lewenberg, Oakes, O'Leary, Reed, Spence, Sweeney. The time was 
10:15 a.m. 

At 10:35 a.m. the Board came out of Executive Session. It was moved, seconded and 

VOTED; To award honorary degrees to those individuals agreed upon in Executive Session and to 
instruct the Chancellors to proceed with the necessary arrangements. 



There being no further business to come before the Board, the meeting was adjourned 




-11 

Assistant Vice President for Board Relations 



-7- 



\ 



y 



I 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, December 7, 1994 

9:15 a.m. 

Faculty Conference Room 

University of Massachusetts Medical Center 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Taylor; Trustees Andriolo, Bogan, Flores, Foley, Giblin, Haynes, 
Karam, Kraft, Lewenberg, McNeil, Morrissey, Naughton, O'Leary, Poduska, Purdy, Spence, Sweeney; 
Vice President/Secretary to the Board Boyd; Ms. Farrell, Assistant Vice President for Board Relations 

Trustees Absent : Trustees Bok, Hoff, Lizana, Reed and Robertson 

University Administration : President Hooker; Chancellors Scott, Penney, Cressy, Hogan and Lazare; 
General Counsel Kirby 

Faculty Representatives : Professors May, Knight, Phalen and Dr. Cooke. 

Chair Taylor convened the meeting at 9:45 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the September 23rd and October 5, 1994 meetings of the 
Board. 

The next item on the agenda was the Chair's Report . Chair Taylor introduced the three new 
members of the Board, Trustees Kraft, Giblin and Naughton, and briefly described their extensive 
activities. He thanked the new Trustees for committing their time and energy to the University. 

The next item on the agenda was the President's Report President Hooker made remarks about the 
academic performance of the UM ASS Amherst men's basketball team, saying that he and Chancellor Scott 
find that the academic program in place for the athletes is excellent, and they, along with Coach Calipari 
will continue to monitor the players' academic performances. He said further that the academic 
performance of the players does fluctuate in response to the playing schedule but all of the players for 
Coach Calipari have graduated, and that the Athletic Committee will be hearing a report from the 
Chancellor on courses in which the students are enrolled. 

President Hooker offered remarks on the recently released Report Card, stating his satisfaction with 
the project and his expectations for improvements in several of the categories in next year's update. He 
went on to say that the evaluation of the Chancellor at UMASS Lowell had been completed, and the 
President is satisfied with the process and the directions that the campus plans for the future. The 
President then updated the Board on the recent media activities relating to the New England Patriots, 
indicating that there have been several areas of discussion, and he will continue to keep the Board 
informed. 

The Board went on the discuss the issue of academics and athletics. Trustee Lewenberg reported that 
his committee had discussed this extensively and that the Trustees through that committee have a strong, 
ongoing commitment to athletics and they will continue to support the department's efforts to ensure 
academic success. 



Chair Taylor then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #1-8 on the Board Consent Agenda: 

1. To accept the Teaching Hospital Trust Fund, FY94 Audited Financial Statements. (Doc. T94- 
105) 

2. To accept the Group Practice Plan, FY94 Audited Financial Statements. (Doc. T94-106) 

3. To accept the Self-Insurance Trust, FY94 Audited Financial Statements. (Doc. T94- 
107) 

4. To accept the State Single Audit Follow-Up, UMASS Dartmouth, UMASS Lowell. 
(Doc. T94-109) 

5. To concur with the recommendation of the University Senior Director for Auditing to 
select the firm of Coopers & Lybrand to perform the University A-133 Audit for 
FY1994. (Doc. T94-083) 

And further, 

To approve the method of charging the costs to the campuses for said audit. 

6. To approve the University Auditor's Plan for Fiscal Years 1995, 1996 and 1997. (Doc. 
T94-082) 

7. To approve the "Principles of Affiliation" between the University of Massachusetts 
Teaching Hospital and Marlborough-Metrowest Health Systems, Inc., attached 
hereto and identified as Attachment A, and to authorize the President to delegate to 
the Chancellor, who may delegate further to the Deputy Chancellor for Clinical 
Affairs to take any and all actions he may determine to be advisable or necessary to 
effectuate the transaction including but not limited to execution of the Definitive 
Agreement(s) on behalf of the University. (Doc. T94-103, Attachment A) 

8. To establish a committee consisting of George McClelland, Robert Karam and 
Stephen Lenhardt to review proposals from companies able to provide management 
consultant services with respect to health care cost reduction at the Medical Center 
and notwithstanding any contrary provision of Doc. T92-031, Appendix D, to 
authorize the Chancellor of the Worcester campus in consultation with said 
committee to select a consultant and to execute an agreement for services on behalf of 
the University the with selected consultant. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil introduced the first item for action, M.S. and Ph.D. in Organismic and Evolutionary 
Biology (Stage II), UMASS Amherst . Trustee McNeil called on Chancellor Scott who provided a brief 
overview of the program, noting that there are no new costs involved. 

It was moved, seconded and 

VOTED : To approve the Stage II proposal for a M.S. and Ph.D. in Organismic and Evolutionary 
Biology academic degree program at UMASS Amherst as contained in Doc. T93-068, 
Addendum 1. 



> 



> 



The next item on the agenda was Appointment with Tenure, UMASS Worcester . Chancellor Lazare 
indicated that the campus is honored to have such an exceptional candidate. 

It was moved, seconded and 

VOTED : To concur with the President in the appointment of Edward Bresnick as Vice Chancellor 
for Research, with tenure in the Department of Pharmacology at UMASS Worcester. 
(DOC.T94-111) 

The next item on the agenda was Awards of Tenure. UMASS Amherst. UMASS Lowell . It was 
moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individuals in the 
following Departments: 

Amherst 

Martin Weinberg—Physics and Astronomy 

Lowell 

William Mass—Policy and Planning 

(Doc. T94-112) 

The next item on the agenda was the Designation of Gilbert L. Woodside Professor of Biology , 
UMASS Amherst . Trustee McNeil encouraged the Board to review the information on this candidate, 
pointing out his service to the institution. 

It was moved, seconded and 

VOTED : To designate Dr. Christopher Woodcock as the Gilbert L. Woodside Professor of Biology 
as contained in Doc. T94-115. 

The next item on the agenda was the Engineering Task Force . Trustee McNeil reminded the Board 
of the previous action taken by the Board and that this vote is a follow-up to that action. President 
Hooker indicated that the Board will have a full report from the Task Force, most likely at the June 
meeting. 

It was moved, seconded and 

VOTED : There will be no net new state-funded faculty positions in engineering within the 
University. An exception may occur where the addition of such a position is clearly 
intended to increase faculty diversity and such position is approved by the Board. The 
foregoing shall remain in effect as an interim measure until the Board takes superseding 
action in light of recommendations by the Task Force. (Doc. T94-074, Addendum 1) 

Chair Taylor then turned to Trustee Spence for the report of the Committee on Administration and 
Finance. Trustee Spence informed the Board that a great deal of discussion had been held at the meeting 
on the first item for action, the FY1994 Financial Report . Trustee Spence congratulated the campus staff 
members for the timely submission of their reports. 

It was moved, seconded and 

VOTED : To accept the University of Massachusetts FY1994 Financial Report. (Doc. T94-113) 



The next item on the agenda was the vote on Financial Integrity . Trustee Spence noted that Trustee 
Haynes and the Audit Committee recommended this vote to the Committee on Administration and 
Finance in an effort to provide the President and Trustees critical information on the financial condition of 
the campuses. Trustee Haynes spoke to the issue of financial integrity and the importance of the fiscal 
responsibility held by the Trustees, emphasizing that the resolution is not meant as an onerous measure, 
but insurance against financial problems. 

It was moved, seconded and 

VOTED : To approve the following resolution: 

WHEREAS, it is the responsibility of the Trustees and President of the University to 
assure the financial integrity of the University; and 

WHEREAS, it is the responsibility of the Chancellor of each campus with delegation 
from the President to insure the fiscal integrity of the campus; and 

WHEREAS, the University must have fiscal boundaries that include a positive ratio of 
current assets to current liabilities, positive expendable fund balances, and operating 
surpluses; and 

WHEREAS, the University needs continuing working capital surpluses to support new 
program development and increased grant and contract activity, and to plan for fiscal 
emergencies: 

NOW THEREFORE, BE IT RESOLVED THAT: 

The Board of Trustees hereby requests the President to establish and monitor financial 
standards and parameters for ensuring the fiscal integrity of the campuses, and further to 
set requirements for action when any campus or University operation does not meet said 
financial standards, including but not limited to detailed spending plans, monthly 
expenditure and revenue reports, and long-term action plans for reaching financial 
integrity, provided that the President shall provide a copy of the financial standards and 
parameters to the Committee on Administration and Finance and the Audit Committee. 

The next item on the agenda was the Massachusetts Prepaid Tuition Program . Vice President 
Lenhardt provided a brief overview of the program. 

It was moved, seconded and 

VOTED : To approve participation by the University in the Massachusetts Prepaid Tuition 
Program established by the Massachusetts Educational Financing Authority under the 
provisions of Massachusetts General Laws, chapter 15C, §5(fl/2), as described in Doc. 
T94-116; and further, to authorize the President to enter into any agreements necessary to 
effectuate the University's participation in the Program, including but not limited to 
agreements to waive, if necessary, increases in mandatory fees which may exceed the 
payments received by the University from the Massachusetts Educational Financing 
Authority under the Program. 

The next item on the agenda was Capital Financing: Hadley Farm . Trustee Spence reminded the 
Board of the previous actions taken in regard to the Farm, and that this vote returns the reserves initially 
borrowed for the Farm to the Foundation. Some discussion regarding procedures for fundraising for 
capital dollars before borrowing was held, and it was also pointed out that the Farm has been a good 
acquisition for the University. 

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V 



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It was moved, seconded and 

VOTED : To authorize the University Treasurer to loan to the University of Massachusetts 
Foundation the sum of $2.9 million at an agreed upon interest rate for a period of ten 
years, for the purchase, repair and maintenance of the Hadley Farm, with principal and 
interest to be repayable based on an amortization schedule approved by the Treasurer, as 
set forth in Doc. T90-073, Addendum 1; 

and further, 

to authorize the Chancellor of the Amherst campus, subject to approval of the General 
Counsel, to assent on behalf of the University to a lease agreement between the Division 
of Capital Planning and Operation and the Foundation for use of the premises by the 
campus; such lease to include a provision for the Amherst campus to pay on a monthly 
basis the costs of servicing the $2.9 million loan made by the Treasurer to the UMASS 
Foundation. 

The next item on the agenda was the Capital Financing: SMU Building Authority . Vice President 
Lenhardt informed the Board that this vote will offer significant savings to the campus in the area of 
student fees, and will be a part of Chancellor Cressy's student fee budget presentation in the spring, 1995. 

It was moved, seconded and 

VOTED : To approve the SMU Building Authority refunding of its 1986 Series A Bonds as listed in 
Doc. T94-118. Further, to direct the Dartmouth campus to develop a final plan for the use 
of the refund savings as part of its FY1996 Student Fee Budget process in the Spring, 
1995. 

The last item for action on Administration and Finance was the Transfer of Capital Asset Reserve 
Funds to Quasi-Endowment, UMASS Worcester . Vice President Lenhardt informed the Board that this 
is in keeping with the Quasi-Endowment policy approved by the Board in June. 

It was moved, seconded and 

VOTED : To approve a transfer of $12,800,000 from the Worcester campus Capital Asset Reserve to 
the Quasi-Endowment; said funds will be restricted for capital purposes. (Doc. T94-122) 

The next item on the agenda was the report of the Committee on Athletics. Trustee Lewenberg 
reported on the many items that the Committee had discussed, most importantly the issue of academic 
success for student athletes. He further pointed out the successes of several of the campus' athletic teams. 

The next item on the agenda was the report of the Audit Committee. Trustee Haynes indicated that 
many of the action items have been already taken, and referred the Board to the Ernst and Young report 
that provides detailed information on the finances of the Medical Center. Trustee Haynes noted his 
concern for the staffing and resources devoted to the Audit staff at the University, to ensure action on 
priority issues. 

Chair Taylor then provided a brief overview of the Joint External Affairs and Executive Committee 
meeting. He pointed out the report given by Chancellor Hogan as an excellent response to the Bok Study. 
Those committees also discussed legislation and fundraising. 

Chair Taylor then introduced the first item for action, approval of the Clinical Management Board 
Members . It was moved, seconded and 



VOTED: To appoint the following members to the University of Massachusetts Clinical 
Management Board: 

Community Members 
Cornelius Ferris 

Physicians 

Arthur Pappas, M.D. 

Neil Blacklow, M.D. 

The next item for action was Amendments to the By-Laws of the Clinical Operations, UMASS 
Worcester . It was moved, seconded and 

VOTED : To approve the amendments to the By-Laws of the Clinical Operations of the University 
of Massachusetts Medical Center as listed in Doc. T94-099. 

The next item on the agenda was the Hospital Management Board Minutes . Chair Taylor noted that 
the minutes from the Clinical Management Board will be approved on the Consent Agenda. It was 
moved, seconded and 

VOTED : To approve the minutes of the September 28, 1994 Hospital Management Board including 
the Unaudited Financial Statements for June, July and August, 1994, and the 
appointments and reappointments for June, 1994. (Doc. T94-121) 

The next item on the agenda was the Department of Defense Exclusion List . It was moved, 
seconded and 

VOTED : To approve the following resolution: 

WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, the Secretary 
and the designated Facility Security Officer meet the personnel clearance 
requirement established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from 
the personnel clearance requirements of certain members of the Board of 
Trustees and other officers, provided that this action is recorded in the minutes. 

NOW THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, the Secretary and the designated Facility Security Officer at the present 
time do possess or will be processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, Secretary or other person 
designated as Facility Security Officer, such individual shall immediately make 
application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers shall not have, and can be effectively excluded from 
access to all classified information in the possession of the corporation and do not 
occupy positions that would enable them to affect adversely policies or practices 
in the performance of classified contracts for the Department of Defense or the 
User Agencies of its Industrial Security Program: 



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> 



> 



NAME TITLE 

Brian Andriolo Trustee 

Daniel E. Bogan Trustee 

Derek Bok Trustee 

Heriberto Flores Trustee 

Michael T. Foley, M.D. Trustee 

William Giblin Trustee 

Robert J. Haynes Trustee 

Charles Hoff Trustee 

Robert S. Karam Trustee 

Myra Kraft Trustee 

Peter K. Lewenberg Trustee 

Arnold Lizana Trustee 

Ogretta McNeil Trustee 

Matthew Morrissey Trustee 

John Naughton Trustee 

James F. O'Leary Trustee 

John William Poduska, Sr. Trustee 

Timothy Purdy Trustee 

Mary L. Reed Trustee 

Pied ad F. Robertson Trustee 

Rina K. Spence Trustee 

Timothy Sweeney Trustee 

Chair Taylor then informed the Board that the next two items on the agenda were appropriate for 
discussion in Executive Session. He then asked for a motion to go into Executive Session for the purposes 
of discussing Honorary Degrees and to discuss the Report of the Evaluation Committee—Annual 
Review which is part of the President's personnel file and not subject to public disclosure. 

It was moved, seconded and 

VOTED : To enter Executive Session. 

Chair Taylor voted for the motion as did Trustees Andriolo, Bogan, Flores, Foley, Giblin, Haynes, 
Kraft, Lewenberg, McNeil, Naughton, O'Leary, Poduska, Spence, and Sweeney. Chair Taylor indicated 
that the Board would reconvene in open session. He further indicated that following the discussion on 
Honorary Degrees, all staff members excepting the President would be asked to leave. 

The time was 11:10 a.m. The Board reconvened in open session at 12:05 p.m. 

It was moved, seconded and 

VOTED : To award honorary degrees to those individuals agreed upon in Executive Session and to 
instruct the Chancellor to proceed with the necessary arrangements. 

Chair Taylor then spoke to the Annual Review of President Hooker, stating that upon the 
appointment of the President, the Board agreed to evaluate his performance and review his salary 
annually. He noted that though a review was conducted last year, the President's salary was not 
changed. Chair Taylor reported that the Trustees are pleased with the work that President Hooker has 
done and in particular, pleased with his leadership in beginning the many changes that the University 
needs to make to become an excellent five campus institution. Chair Taylor then asked for a motion to 
approve an 8% increase in President Hooker's salary, equivalent to 4% per year. Chair Taylor referred to 
the letter from Academic Search Consultant Service (ASCS) indicating the level of comparative salaries 



for system CEO's noting that President Hooker is in the area of the median salary. The Trustees held 
some discussion regarding the importance of ensuring an increase for other University employees. 

It was moved, seconded and 

VOTED : To concur in the Chair's recommendation that the President's annual salary be $189,000 
as of September 1, 1994. 

The next item on the agenda was a discussion of the Committee Meeting Structure . The Board was 
in agreement on the point that the major committee meetings be held on the Tuesday before the regular 
Wednesday Board meetings. The Trustees' Office will make arrangements for the change in meeting 
schedule. 

Trustee Foley requested that at the next meeting of the Board he be allowed time to report on the 
meeting of the Trustees of the Five Colleges, Inc. 

There being no further business to come before the Board, the meeting was adjourned. 

i P 




Elizabeth H. Tuthill Farrell 

Assistant Vice President for Board Relations 



-8- 



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> 



) 



> 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
PERSONNEL AND DIVERSITY SUBCOMMITTEE 

Wednesday, May 4, 1994; 8:00 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Reed, Trustee Hoff; Vice President and Secretary of the 
Board Boyd and Assistant Vice President Tuthill 

Committee Members Absent : Trustee Haynes 

Medical Center Task Force : Trustees Karam and Foley 

University Administration : Chancellor Hogan; Vice President Lenhardt; General Counsel 
Kirby; Mr. Milbury, Director of Labor Relations; Deputy Chancellor Stanton 

Campus Affirmative Action Representatives : UMASS Amherst: Mr. Tillis, Mr. Leheny, Ms. 
Carr; UMASS Boston: Mr. Babcock; Ms. Blair; UMASS Dartmouth: Ms. Carey; UMASS Lowell: 
Ms. Lyman; UMASS Worcester: Mr. Wells 

Chair Reed convened the meeting at 8:00 a.m. and introduced the first item, Affirmative 
Action Plans . Trustee Reed identified the Committee's interest in seeing that the plans receive 
due focus and attention and noted that the Committee intends to look at each campus's plan as an 
individual agenda item at upcoming meetings. Representatives from each campus then spoke to 
their proposed plans for reporting affirmative action issues to the Board through this Committee. 
Some of their concerns were that there are differences among the campuses, but each campus also 
agreed to a common format for annual reporting that will be useful for all. 

The Committee expressed concern for the attention and priority that is given to affirmative 
action, noting that the system-wide performance is very unequal and that there has not been a 
thorough review by the Trustees in a few years. All members of the Committee and staff agreed 
on the importance of Affirmative Action principles when conducting searches and in any 
personnel recruitment. Chair Reed then requested the Chancellors attendance at future 
Committee meetings. 

A draft of guidelines and components that would make up the annual report to the 
Committee was distributed and it was agreed that these guidelines would foster unanimity in 
reporting and allow for easier access to common information by the Trustees. 

A question regarding the availability of state or federal money to support affirmative action 
goals and diversity on the campuses was brought up and discussed. Outside of federal minority 
scholarship funds and a state fund (McNair) there are no specific funds. Each campus was then 
asked to prepare an inventory of incentive funds to achieve affirmative action and diversity goals 
and report back to this committee. 

It was also noted that the language in the reporting format (Doc. T94-054) should be amended 
so as to clarify that this reporting format pertains only to the Trustees and will not interfere with 
or change reports to federal or state agencies. 



It was moved, seconded and 

VOTED : To recommend that the Executive Committee accept the Affirmative Action Plans 
for UMASS Amherst, Boston, Dartmouth, Lowell and Worcester as contained in 
Doc. T94-026. Further, to approve the reporting format for submission of 
Affirmative Action Plans to the Board of Trustees as contained in Doc. T94-054, 
as amended. 

The next item on the agenda was Workforce Redesign Policy, UMASS Worcester. Deputy 
Chancellor Stanton reminded the Committee that this policy had been brought before the 
Executive Committee of the Board in April as a response to pressing budgetary issues that the 
Medical Center is facing which may necessitate significant cuts in personnel. It was determined 
after further study that the immediate personnel changes could be made under the University's 
existing policies or contracts. The request for action on this policy has been tabled, but Mr. 
Stanton asserted that they may need the policy for long-term changes that are anticipated, 
particularly in the next three years, and may come back to the Board in August. 

The Committee expressed concern regarding the extent and need for personnel policies at the 
various campuses, but was assured that the situation and uniqueness of the Medical Center 
campus needs a separate policy. 

Chair Reed requested that any further discussion should come to this Committee in adequate 
time to be acted on by the Committee on Administration and Finance for the August Board 
meeting. 

The next item on the agenda was a discussion of Diversity Issues at the University. Chair 
Reed noted that the System Task Force Report on Diversity she had received from Chancellor 
Hogan had a great deal of information about extensive activities across the system. Chancellor 
Hogan identified four major parts of the report and noted that the final report will be ready in 
June. The recommendations will be then be considered in the strategic planning report currently 
in process which is expected to come to the Board in October. 

Chair Reed then stressed that the goals of this Committee include reviewing each campus 
Affirmative Action plan. 

There being no further business to come before the Committee, the meeting was adjourned at 
9:05 a.m. 




Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



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> 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
PERSONNEL AND DIVERSITY SUBCOMMITTEE 

Tuesday, June 7, 1994; 12:00 noon 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff; Chair Reed, Trustees Haynes and Hoff; Vice President and 
Secretary of the Board Boyd and Assistant Vice President Tu thill 

University Administration: Chancellors Cressy, Hogan, Lazare, Penney and Scott; Vice 
President Sessoms; General Counsel Kirby 

Chair Reed convened the meeting at 12:05 p.m. and introduced the discussion topic, External 
Funding for Diversity Initiatives and the need to formalize diversity initiatives across the 
campuses to better understand the funding that the system as a whole is working with. Trustee 
Reed asked each campus to address a three part question: what programs are in place on the 
campus, how are they being funded, and how can these programs be shared in the system. 

Chancellor Hogan then reported on the Lowell campus's plans in relation to the strategic 
goals, particularly to diversity and pluralism. There is a Diversity and Pluralism Council which 
currently has campus funds set aside for new initiatives, awarded on a competitive basis. The 
Chancellor also described some of the campus's programs in this area and the faculty who are 
particularly instrumental in making the programs work. 

The next campus to report was UMASS Boston. Chancellor Penney gave information on the 
Planning Council at her campus which has done extensive work in the area of diversity, 
including the very successful Urban Scholars Program. They have incorporated a diversity 
requirement into the curriculum, and have had a Ford Foundation Grant ($180,000) which is for 
faculty initiatives and there have been discussions with Vice President Sessoms about expanding 
this program to the five campuses. 

Chair Reed then requested that each campus provide a list of those programs for which 
funding has run out, those which are currently operating from external funds, and the level of 
funding in total. 

Chancellor Penney further noted that the Boston campus has approximately $2-3 million 
from federal, state and private funding for all of the programs in total and identified the greatest 
funding problem area as being financial aid for low-income students. 

The discussion turned to the aspect of moral, ethical and economic incentives that are there 
for universities to provide support to minority populations, and the need to better educate people 
about financial aid opportunities. In addition to federal and state funding, there are other 
institutions (banks, for instance) that see the incentive in investing in the education of the future 
workforce. 

Chancellor Cressy then reported on the Dartmouth campus which has a highly diverse 
student population from Fall River and New Bedford. The campus has focused on five areas 
which, for students, include: outreach, retention and support systems. The campus has provided 



funding for several programs which have been very successful, with modest outside funding. 
The campus also had a Day of Diversity as follow-up to the all-university conference which was 
very well attended and received. The Chancellor spoke about his focus on diversity initiatives, in 
particular, hiring senior level administrators. The other major area he is focused on is Title IX to 
increase opportunities for women in athletics. 

Chancellor Lazare spoke next regarding diversity initiatives at UMASS Worcester. There are 
efforts that address the needs and concerns of the various campus groups and nearly all of the 
funding is external. They have turned their efforts to junior and high school students in order to 
increase the number of minority students who apply to medical school which, at this time, is very 
small. They have also put in place an incentive program for hiring minority faculty. 

Chancellor Scott then informed the Committee of the progress the Amherst campus has made 
in the area of diversity and pluralism. They have set a goal for the recruitment of 
undergraduates, that the entering freshman class would reflect the diversity of the high school 
graduating seniors in Massachusetts. The Chancellor further reported on other goals that reflect 
the plan that was put in place in the fall of 1992. The campus has numerous programs which 
address access, outreach, and retention, for undergraduate and graduate students as well as 
faculty. 

There was further discussion about the Massachusetts companies which have a vested 
interest in both the education of the population and the community support and could provide 
funding to the UMASS system. It will be important to approach these companies as a system to 
seek support not as five separate entities. The campuses have some very successful and effective 
programs that can be shared among the system and these should be identified. Further, the 
problem of high tuition-high financial aid is still a barrier for many low income students and their 
families. 

Chair Reed reiterated the importance of better educating students and their families on 
financial aid. She further requested that the campuses forward information to Vice President 
Sessoms on their programs and funding. 



The meeting adjourned at 1:05 p.m. 



Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



) 



i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
PERSONNEL AND DIVERSITY SUBCOMMITTEE 

Tuesday, July 26, 1994; 1:45 p jn. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Reed, Trustee Hoff; Vice President and Secretary of the 
Board Boyd and Assistant Vice President Tuthill 

University Administration : Chancellors Cressy, Hogan, and Lazare; Vice President Sessoms; 
General Counsel Kirby; Vice President Lenhardt; Deputy Chancellors Stanton and Williams; 
Associate Chancellors Babcock, Tillis and Vanin. 

Chair Reed convened the meeting at 1:50 p.m. and welcomed the new interim Affirmative 
Action Officer from the UMASS Boston campus. Mr. Babcock introduced Charles Diggs who has 
been at UMASS Boston for 10 years and said that here will be a search for the permanent AAO 
this year which will be chaired by Hubie Jones. 

Chair Reed then requested that the action item first on the agenda be delayed in the event 
that Trustee Haynes would attend the meeting later. The first item for discussion was 
Affirmative Action Plans: Focus on UMASS Amherst . Chair Reed reiterated the Committee's 
interest in reviewing the Affirmative Action Plans for each campus individually to hear about 
updates on the plans, or any issues in the pipeline that should be addressed. 

Associate Chancellor Tillis then presented information on the Affirmative Action plan for 
1993-94, the report required by the federal government. Mr. Tillis explained that narrative 
reports and specific numbers are provided by each budgetary unit. He reported that the campus 
had increased the numbers of targeted persons in the workforce on the campus, but that efforts 
should continued, particularly in the senior administrative levels. Mr. Tillis further identified 
programs that the campus supports for black and other minority students, as well as the increase 
in admissions of underrepresented groups and focus on retention that the campus is committed 
to. 

Associate Vice Chancellor Vanin further commented that the campus has dedicated money 
and staff to programs for outreach and retention which will make a great difference in 
overcoming the campus' negative. The programs that were identified in the materials are 
crosscutting across the departments and the campus to fully support and educate all of the 
students at the University. 

Chancellor Cressy raised the issue of the four undergraduate campuses competing with each 
other for minority students, and whether there should be a policy which clearly defines each 
campus's goals. The representative balance for each campus would need to be different and may 
also define geographical areas for recruiting. Vice President Boyd reminded the Committee that 
the campuses are currently working on the measurable goals and indicators which should help to 
clarify these issues. Chair Reed noted that this is a very important subject and should be brought 
up again at a future meeting. 



The next item discussion item was the External Funding for Diversity Initiatives . Chair 
Reed asked Deputy Chancellor Williams to present the information that was sent regarding 
programs at UMASS Amherst. Deputy Chancellor Williams reiterated the importance of 
increasing the targeted areas of the workforce, as well as recruitment and retention programs for 
students. The document reflects extensive monetary support, particularly for recruitment, and 
the Deputy Chancellor further noted the external funding sources which they track for ongoing 
funding each year. Linda Marchesani, who manages the Office of Staff Development and 
Training then distributed information on staff training, for which there is external funding, and 
some effective programs, some of which were funded through the Strategic Initiatives Fund. 
Deputy Chancellor Williams stressed the importance of staff development in the effort to recruit 
and to retain all students. These programs also represent the type of programs that could be 
shared across the system. 

Chair Reed commented that the format used by the Amherst campus was very effective and 
asked that all of the campuses consider using this type of format for this information. 

The next item on the agenda, for action, was the Workforce Redesign Policy, UMASS 
Worcester . Chair Reed reminded the Committee that this policy had come to the Committee 
previously and that there was a need, in light of the ongoing changes in the Hospital structure, to 
bring the policy back for recommendation to the Committee on Administration and Finance. 
Chair Reed then asked Deputy Chancellor Stanton to present information on the policy. Mr. 
Stanton noted that the policy brought today is the same policy that the Board approved for all of 
the campuses last August, with substantive changes being the circumstances under which the 
institution may reduce the workforce, based on the very competitive financial situation the 
hospital is now facing, and the length of notice time and severance as based on vacation and 
years of service. Mr. Stanton also said that the policy would probably be operational sometime 
this fall. 

It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance approve the 
Workforce Redesign Policy at UMASS Worcester as contained in Doc. T94-023, 
Appendix 1, as amended. 

Chair Reed then asked Chancellor Hogan to update the committee on the Task Force on 
Diversity and Pluralism . Chancellor Hogan said that the focus on the balance of numbers of 
minorities is a complicated one and that the Task Force is still working on that part of the report. 
He said further that the report should be completed by September. 

There being no further business to come before the committee, Chair Reed adjourned the 
meeting at 2:45 p.m. 




Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

* AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AD HOC COMMITTEE ON PERSONNEL 

Tuesday, March 1, 1994; 7:45 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Reed; Trustees Haynes and Hoff (via Conference Call); Mrs. 
Fontaine, Secretary to the Board 

University Administration : President Hooker (via Conference Call); Vice President Lenhardt; Mr. 
Milbury, Director of Labor Relations 

Chair Reed convened the meeting at 7:45 a.m. The purpose of this meeting was to consider the 
revised draft of the Personnel Policy for Non-Unit Professional Staff . Vice President Lenhardt reviewed 
with the Ad Hoc Committee the changes that had been suggested by the Chancellors and incorporated 
into the document. 

The Sub-Committee discussed and approved the following additional changes in the policy: 

• Delete the provision allowing for delegation of salary authority to Vice Chancellors; 
. • Require approval by the President of any new or changed salary above $100,000; 

• Add language indicating that the President shall report annually to the Board of Trustees on the 

Annual Merit Salary Program. 

With these changes, the Sub-Committee approved the Personnel Policy for Non-Unit Professional 
Staff and recommended its adoption by the Committee on Administration and Finance. 

The Ad Hoc Committee will reconvene in approximately six months to review the implementation of 
the non-unit personnel policy. 

The meeting adjourned at 

Cynthia A. Fontaine 

Secretary to the Board of Trustees 




) 



/ 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AD HOC COMMITTEE ON PERSONNEL AND DIVERSITY 



Tuesday, December 20, 1994; 8:00 a.m. 

Board Room 

University of Massachusetts President's Office 

Boston, Massachusetts 

Committee and Committee Staff : Chair Reed; Ms. Farrell, Assistant Vice President for Board Relations 

Committee Members Absent : Trustees Haynes and Hoff 

University Administration : President Hooker; Chancellor Hogan; Vice President Sessoms; Provost 
Tripathy; Dean Pierson, School of Education; Ms. Lyman, Special Assistant to the Chancellor for 
Affirmative Action; Mr. Giarusso, Director of Personnel, UMASS Lowell; Ms. Lan Pho, Director, Minority 
Student Affairs 

Chair Reed convened the meeting at 8:20 a.m. The first item for discussion was the Update on 
Diversity Initiatives, UMASS Lowell . Chair Reed asked Lan Pho to provide an update on her area of 
responsibility, the Council on Diversity and Pluralism at the Lowell campus. 

Ms. Pho then gave an overview of the Council, general responsibilities, future plans and organization. 
She responded to questions regarding funding for the Council's activities, most of which is internal. 
Chair Reed noted the importance of identifying the most effective programs, given the uncertainty of 
funds and the need to ensure that the best programs are continued. Ms. Pho reported on a study survey 
and noted that they plan to update this survey and report back to this Committee. 

Ms. Lyman then provided an update on the campus' Affirmative Action Plan. She indicated that 
there is no major change in the numbers from the June 1994 report, but the campus is making changes 
under the new Provost, Sukant Tripathy, to be more aggressive in recruitment efforts. Also, the campus 
is not currently doing any extensive hiring. Chair Reed asked that this Committee receive an update on 
the numbers in December, 1995. 

Mr. Giarusso then reported, from the Personnel Office, the activities for improving recruitment and 
the importance of the impact that internal hiring practices have on the affirmative action numbers. He 
spoke to this issue of quality programming on the campus, fair treatment and training programs that help 
all employees excel. 

Dean Pierson then updated the Committee on the dropout prevention programs that the campus is 
currently responsible for in the Lowell /Lawrence school districts, which has achieved great success. 
They hope to recruit more of these students to UMASS Lowell each year. He further updated the 
Committee on the Demonstration school that is run in Lowell which has also been successful. The School 
of Education is also involved in curriculum changes in the Lowell public schools, as well as teacher 
training for ESL. Ms. Lyman also pointed out the great achievement of the National Youth Sports 
Program (NYSP) for area at-risk high school youth. Chair Reed asked that all of the programs mentioned 
at this meeting be included in the overview of campus programs. 



) 



The meeting was adjourned at 9:15 a.m. 



Elizabeth H. Tuthill Farrell 

Assistant Vice President for Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT COMMITTEE 

Tuesday, February 1, 1994 

Quinn Administration Building, Room 311 

University of Massachusetts 

Boston, Massachusetts 



Trustee and Trustee Staff: Chair Haynes, Trustees Karam, Poduska and Oakes; Mrs. Fontaine, Secretary 
to the Board 

Other Trustees: Trustees Lizana and Lewenberg 

University Administration : President Hooker, Vice President Lenhardt, Vice Chancellors Dars, Goodwin 
and Page; Deputy Chancellor Stanton 

Trustee Haynes convened the meeting at 2:50 p.m. The first item on the agenda was the Quasi 
Endowment Fund Policy. Vice President Lenhardt presented the draft policy in response to the interest 
expressed at the last meeting to develop a long term investment and development strategy. The draft 
policy would allocate funds to the quasi-endowment accounts from each of the campus units of the 
system and would be held by the University of Massachusetts Foundation. The funds would be invested 
under the same guidelines as the endowment funds. 

Another alternative suggested was similar to the mission enhancement fund approach the University 
undertook this year. There was a less than optimistic view of this approach given the current budget 
situation. 

Vice Chancellors Page and Goodwin then spoke about potential concerns from the campus 
perspective. 

The Committee suggested that Vice President Lenhardt have prepared for the next meeting, data 
relating to last year's balance sheet and what the impact would be if the University moved ahead with 
this concept. 



The meeting adjourned at 3:30 p.m. 



Cynthia A. Fontaine 

Secretary to the Board of Trustees 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Wednesday, May 4, 1994; 10:00 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes, Trustee Oakes (via telephone), Vice President 
and Secretary of the Board Boyd and Assistant Vice President Tuthill 

Committee Members Absent : Trustees Karam and Poduska 

University Administration : Vice President Lenhardt; General Counsel Kirby; Vice Chancellor 
Goodwin; Associate Chancellor Leheny; Associate Treasurer Marquis; University Comptroller 
Wanczyk 

Chair Haynes convened the meeting at 10:00 a.m. and asked Vice President Lenhardt to 
introduce the first item, the Ouasi-Endowment Policy. Mr. Lenhardt reminded members that 
this policy had previously come before the Committee and that it is an amendment to the current 
Cash Management Policy of the University. The Comptroller, Ms. Wanczyk, then distributed 
information regarding Balance Sheet and accounting implications that this policy would have. 
Also available as a separate item was a portrayal of the Foundation's investment strategy, 
including the asset mix. 

Vice President Lenhardt then described the proposed policy and identified the basic policy 
question as the Trustees' authorization of the quasi-endowment. The ensuing discussion focused 
on creating a quasi-endowment from operations up to an amount equal to 25% of the book value 
of the University's operating cash portfolio as of June 30. In discussion it was made clear that a 
campus must have a positive current fund unrestricted fund balance in order to be considered 
under the policy. It was agreed to recommend a quasi-endowment strategy as a positive effort to 
improve the University's Balance Sheet. 

Discussion then turned to the issue of amending the Cash Management Policy to allow equity 
participation of up to 25% of the total cash balance of the University. Many issues were discussed 
such as the volatility of the equity market, enhanced return, and so on. The risk being taken is 
that in three of four years, the quasi-endowment return will exceed the fixed income return, but 
in those years as well, negative returns are also possible. The Treasurer's Office will be 
responsible for the program, as well as the hiring of external mangers to invest the equity 
component. 

Lengthy discussion regarding the investment return led to putting forth a few options for 
capping that return, so as to keep from allocating earnings to any excessive levels. It was 
determined that capping the return would safeguard the assets against down years and also keep 
any campus from excessive dependence on the return. The cap could be established annually 
based on expectations or on an average over the last five years. It was understood that the 
Treasurer's Office would propose language in the vote to accomplish this objective. 

Concerns regarding the one percent distribution to the President for development purposes 
were then discussed. President Hooker assured the Committee that the Chancellors had all 



discussed this policy and agreed on the need to devote money to development. The Committee 
reiterated their support for the need to establish funds for use in development and see the quasi- 
endowment as a good starting point for bolstering the total endowment. 

The Committee then discussed information in the materials that identify the impact of 
establishing a quasi-endowment fund. Ms. Wanczyk reported that comparative indices from 
Standard & Poors show that our peer public institutions do have endowments of approximately 
$68 million in total, of which 74% is quasi-endowment, and that if we utilized the 25% allocation 
for FY94, the University would be at $64 million in total endowment with 77% of that being 
quasi-endowment. The level of 25% allocation was then discussed and Committee members 
were reminded that the policy allows for up to 25% and is limited by the individual campus's 
balance sheets which is a second safeguard; this is a conservative allocation measure. 

The major risk in establishing this policy hinges on whether or not the University proceeds 
with the bond program and, if there is no bond program authorized, the money in the quasi- 
endowment fund might need to be used for capital repairs and maintenance. Another external 
risk would be any changes in the State's accounting requirements that threaten the University's 
fiscal autonomy and forces the University to account for its funds in a different manner. 

The Committee asserted that they support the policy and will bring it to the Committee on 
Administration and Finance for action. 

There being no further business to come before the Committee, the meeting was adjourned at 
10:55 am. 




Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



-2- 



i 






UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
LOWELL STUDY GROUP 

Friday, May 27, 1994; 8:30 a.m. 

18 Tremont Street - Suite 800 

Wood Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Bok, Trustees Cunningham, Hoff, Karam, Poduska, and 
Taylor; Assistant Vice President Tuthill 

Committee Members Absent : Trustee Haynes 

University Administration : President Hooker; Chancellor Hogan; Vice President Sessoms 

In the absence of Chair Bok, President Hooker convened the first meeting of the Lowell Study 
Group and asked Vice President Sessoms to review the scope and structure of the Study of the 
UMASS Lowell Campus . Vice President Sessoms provided background information for 
establishing the study which is designed to support and strengthen the campus, citing the 
declining enrollments and vacant dormitory rooms as particularly important financial factors. 
He went on to say that Trustee Bok found the potential financial projects such as the Hockey 
Arena/Student Center and other property acquisitions, would need more in-depth Trustee 
review. 

Vice President Sessoms then referred to the six areas of focus for the study: enrollment; 
market-niche; synergy within the UMASS system and other academic institutions; collaboration 
with industry; financial condition; and physical condition. Working groups have been 
established to look at each of these areas, and, in some cases are lead by outside experts, members 
of the President's Office and various members of the UMASS Amherst campus. Vice President 
Sessoms described the groups, their goals and their membership, inviting Trustees to become 
involved in any area of particular interest. He further described the need for these groups to 
interact and will hold cross-group meetings during the month of July. Much of the substance of 
those meetings will be presented to this Trustee Group, and they hope to be finished by the end 
of the summer. 

Discussion turned to the Timeline and the Structure of the study, with the concern being the 
depth of information and analysis given the time-frame. Vice President Sessoms identified the 
time-frames for some particular tasks which would not go beyond the summer, and the fact that 
much of the work would be done by graduate students who are more readily available during the 
summer. President Hooker reminded the group that the two purposes of the study are to satisfy 
the fiduciary responsibility of the Board and to give the campus information as it plans for the 
future, both short and long-term. The timetable reflects the immediate needs in these two 
purposes. President Hooker then mentioned the two other institutions which are important to 
consider when there are decisions made at UMASS Lowell, the City of Lowell and Middlesex 
Community College. The discussion turned to the political relationship being built between the 
University, the Lowell /Merrimack Valley delegation, the City, and the local media. The 
Chancellor went on to say that the most steadily difficult issue in the region is the economy, 
citing several statistics about loss of jobs and the cost of living. 



Trustee Bok joined the meeting at 9:05 a.m. 

President Hooker then asked Vice President Sessoms about the Estimated Expenses, noting 
the importance of keeping the costs to a minimum. Vice President Sessoms indicated that they 
estimate approximately $100,000-110,000 with a great amount of the expense going to graduate 
student salaries. Trustee Bok further explained that a major part of the cost will be the study of 
the physical condition and layout of the campus as well as examining new proposals which will 
bring a much-needed and long-term improvement to the campus atmosphere. 

President Hooker then asked Chancellor Hogan to update the gTOup on the proposed 
Hockey Arena/Student Center . The Chancellor described the atmosphere in the city as being 
strongly in support of having an arena but aware of the difficulty of the City's ability to support 
the project given it's status in financial receivership. Representative Cox has been particularly 
helpful in securing funds from the state for their 1 /3 of the project. This funding is contingent on 
the availability of city funds. The Chancellor further said that by October, when the recruiting 
season begins, the campus will need to proceed with the on-campus arena /student center with or 
without the city depending on their ability. The campus is currently planning for the potential 
need to bring the issue to the Trustees in the fall. 

Chancellor Hogan then outlined for the Trustees some of the issues that surround the dorm 
vacancies, including the demographic make-up of the student body which has seen a major 
increase in the number of commuter students, and described the financial aid strategy to 
encourage students to live in the dorms. The Chancellor also described the increased efforts on 
behalf of the admissions office in the face of declining enrollments, including total quality 
management initiatives. The tuition and fee increases over the past five years greatly affected the 
market niche of the campus, given the competition with Middlesex Community College and the 
University of New Hampshire. In addition, in the face of declining enrollments, the campus has 
seen the declining admissions standards and has also seen the increased number of students who 
spend two years at MCC and then come to UMASS Lowell. Discussion continued regarding the 
competition and future relationships with community colleges for all of the campuses. 

The discussion then turned to the importance of the relationship between business and the 
University, particularly the High Tech Council and the Lowell campus. The change in the 
industry does have an impact on the curriculum, but the culture of the university is not friendly 
to the ease with which industry can make change. The structural change impacts all of the 
campuses in management and engineering reflecting business' needs. The discussion returned to 
the issue of enrollments, admissions rates, quality and costs. President Hooker reminded the 
group that the demographic changes will mean a major increase (30%) in the number of 18 year- 
olds in the Commonwealth by the year 2010 which will improve the applications and admissions 
rates. 

Chair Taylor reminded the group of the importance of the reallocation project that should be 
complemented by rebuilding quality programs which suffered under budget cuts. President 
Hooker further noted that the quality issue is central to the question of reallocation across the 
system. Productivity was also cited as a critical part of building the future of the University. 

Vice President Sessoms then noted that the enrollment management and market niche of the 
Lowell Study will be most useful to the entire system since the issues are current to each campus. 
Also, there is currently underway a process for sharing faculty from the Engineering Department 
in Lowell with the Boston campus, given that there is a need- Fundraising is also part of the 
Lowell Study in addition to the major fundraising plans for the University system. 



-2- 



^ The meeting was adjourned at 10:00 a.m. 




Elizabeth H. Tu thill 

Assistant Vice President, Board Relations 



i 



J 



-3- 



; 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 

COMMITTEE ON ADMINISTRATION AND FINANCE AND 

MEDICAL CENTER TASK FORCE 

Tuesday, June 7 1994; 8:00 a.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee/Task Force and Committee Staff : Trustees Haynes and Karam; Ms. Tuthill, Assistant Vice 
President for Board Relations 

Committee/Task Force Members Absent: Trustees Bogan, Dickson, Foley, Flores, O'Leary, Reed and 
Siegmann, Spence 

University Administration : President Hooker; Vice Presidents Lenhardt and Sessoms; General Counsel 
Kirby; Chancellor Lazare; Deputy Chancellor Stanton 

Guests : Mr. McClelland, Hospital Management Board; Dr. Frieswick and Mr. Hollings, University 
Hospital 

In the absence of Trustee Haynes who was chairing the meeting in the absence of Trustee Spence, 
President Hooker called the meeting to order at 8:10 a.m. President Hooker identified three specific areas 
of concern for Trustees for which reason this meeting was called: unanswered and additional questions 
regarding the Hospital's current cash position; the Hospital's cost-cutting strategy; the approval of the 
Hospital and Group Practice Budgets for FY95. 

Mr. Hollings from the Hospital then distributed quarterly financial statements and presented further 
information regarding admissions numbers (accounting for 75-80% of the income), observation beds, total 
revenue, the average daily census, the issue of surplus and the cash position. 

Chair Haynes joined the meeting at 8:20 a.m. Mr. Hollings continued his presentation and projected 
that the Hospital should finish the year somewhere in the area of $1 million surplus. The largest costs 
were for observation beds and fringe benefits. The cash position is also affected by the delay in the 
University's capital program. 

Mr. McClelland from the Hospital Management Board then addressed the question of the urgency of 
action with regard to the Hospital's financing this spring. Mr. McClelland reiterated the extreme revenue 
losses resulting from the observation beds, new payer classifications, the decline in admissions, 
particularly surgeries which created a situation where the hospital was faced with an extreme reduction 
in margin for both February and March. Since that time, they have formulated a cost reduction plan, and 
are working on a revised budget. 

The next item to be discussed was the issue of new programs. The total budget for new programs is a 
net $5 million, most of which is already in current programs. They are looking carefully at the success of 
young programs as those monies are used as an investment pot for new programs. The plan is to 
continue to identify where to reduce costs while preserving the educational research core. 

Chair Haynes then requested that the Task Force look at the Cost Reduction Strategy. Dr. Frieswick 
reported that the Hospital had collected data for bench-marking based on national comparisons 



(including Boston teaching hospitals) with academic hospitals and she reported on the various areas that 
are undergoing changes and consolidations. 

After further discussion, it was then decided that the revised Hospital budget would come back to the 
Board for approval when it is fully prepared, in August or October. These budgets should be complete 
with Executive Summaries that concisely present the issues of concern as discussed. 



The meeting adjourned at 10:00 a.m. 




Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



■2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
MEDICAL CENTER TASK FORCE 

Monday, June 13, 1994; 8:00 ajn. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Task Force and Staff : Chair Karam; Trustees Lewenberg and Taylor; Assistant Vice President 
Tuthill 

Task Force Members Absent : Trustees Dickson and Foley 

University Administration : President Hooker; Chancellor Lazare; Vice Presidents Kirby and 
Lenhardt; Deputy Chancellor Stanton 

Hospital Management Board : Mr. McClelland (Chair, HMB Finance Committee) 

Chair Karam began the meeting at 8:05 a.m., stating that the purpose of the meeting was to 
prepare for future meetings with potential partners. Chair Karam specifically requested that this 
meeting cover cost issues and attendance at future meetings. 

There was discussion regarding the amount of information on the UMASS budget and 
austerity program necessary to bring in a potential partner. This discussion included the various 
factors important to a future partnership including: educational mission, leadership (including 
governance), and cost. 

The question of whether the University Hospital should remain an independent hospital 
versus partnering, particularly in light of the A.P.M. report, was then discussed. It was decided 
that the University's position should be that partnerships to form an integrated network is of 
priority, but the strength of the University as an independent should be factored into 
negotiations. The expertise of UMMC's current consultants should be assessed in regard to 
Hospital negotiations. 

Discussion then turned to a major issue from the University's perspective: the importance of 
a continued focus on the teaching mission for the UMASS Hospital. This brought the issue of 
leadership and governance back, and it was reiterated that this is a very important factor in any 
negotiations. Mr. McClelland outlined other areas of concern for the hospital in any future plan. 

Finally, it was agreed that the University will explore the Medical Center's future on a "dual 
track", i.e. as part of a partnership integrated network or as an independent hospital. President 
Hooker stated that his office will follow through on these tracks and keep Trustees informed. 



The meeting was adjourned at 9:25 a.m. 



SUsUu-Ui 



Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 





> 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
NOMINATING COMMITTEE 

Wednesday, September 14, 1994; 3:00 p.m. 

Knapp Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Trustee DiCara; Mr. Boyd, Vice President and Board 
Secretary; Ms. Farrell, Asst. VP for Board Relations 

Committee Members Absent : Trustees Finnerty and Reed 

Trustee Haynes convened the meeting at 3:15 p.m. He reported that in all of his conversations with 
his colleagues on the Board, he was pleased to hear that members are committed to playing whatever role 
necessary for the success of the Board and the University. 

Trustee Haynes said further that the singular recommendation that the 1994 Nominating Committee 
would make to the full Board would be for the Board to establish a two or three year cycle for committee 
chairs. Given the number of changes made in 1993, the Committee does not recommend making any 
changes this year. Trustee Haynes said that the challenge to the 1995 Nominating Committee will be to 
set the ground work for bringing in new chairs next year and that the Chairman may wish to appoint the 
1996 Nominating Committee this fall. 

The Committee noted that the Chairman has the Board's full support and, further, that the cycle 
imposed on the committee chairs should not apply to the Board Chairman. 

It was moved, seconded and 

VOTED: To recommend that the Board confirm and approve the Officers and Committee Chairs of 
the Board set forth in Doc. T94-100, all to serve until the next annual meeting of the Board. 

The meeting adjourned at 3:45 p.m. 




Elizabeth Tu thill Farrell 
Assistant Vice President for Board 
Relations 



> 



*.'<' "**£'■ 



, 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Wednesday, September 21, 1994; 8:00 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Assistant Vice President Farrell 

Committee Members Absent: Trustees Karam, Oakes, Poduska 

University Administration : Vice President Lenhardt; General Counsel Kirby; Mr. Marquis, 
Associate Treasurer; Vice Chancellor Goodwin; Dean Hayden 

Chair Haynes convened the meeting at 8:05 a.m. and introduced the first action item, 
Treasurer's Investment Report . Vice President Lenhardt referred to the Executive Summary and 
noted that, in particular both the yield and the earnings have decreased since FY93. He further 
pointed out that the report contains some comparison with other benchmarks, and that the 
University is doing very well. Trustee Haynes noted that the work and the report was very well 
done, and asked about the outlook, which Mr. Lenhardt and Mr. Marquis noted is good. Further 
discussion regarding particular aspects of the report and the University's investment strategy was 
held, including bonds portfolio, the equity strategy, and investments in CD's and Treasury Bills. 

It was then moved, seconded and 

VOTED: To recommend that the Committee on Administration and Finance accept the 
FY1994 Treasurer's Investment Report as contained in Doc. T94-091. 

The next item on the agenda was the discussion of the Operating Cash Portfolio and 
Endowment Performance as of June 30, 1994 . Portfolio performance was discussed under the 
previous item. Mr. Lenhardt did bring to the Committee's attention the UMASS Foundation's 
performance highlights. The Treasurer's Office is working with the Foundation on an advisory 
basis, and determining an appropriate strategy given recent market changes. Following 
discussion on investing in derivatives, Trustee Haynes requested that Mr. Marquis make a 
presentation on staying away from exotic investments and determine whether there is a need to 
make a formal recommendation to the Board for the investment policy. Currently the University 
has stayed away from derivatives. 

After further discussion regarding the UMASS Foundation, Trustee Haynes requested that 
the President investigate the status of subsidiary foundations and other similar groups which 
hold endowed funds and advise this Committee and the Board of Trustees of future plans. 

The next item on the agenda was the Amendments to the Cash Management Policy . Vice 
President Lenhardt indicated that the changes were mainly technical items and that the major 
changes include removing the South African investment restriction and to confirm the quasi- 
endowment policy in the investment strategy. 

It was moved, seconded and 



VOTED : To recommend that the Committee on Administration and Finance amend the 
Cash Management Policy by striking the following: 

IV. Investment Banks: 

6. The institution must adhere to the University's policy on Investment 

which states 'The University will not invest in any company or lending 
institution which, either directly or through its subsidiaries or affiliates, 
does business in or with the Republic of South Africa or in countries with 
similar apartheid racial policies." 



And further, 



To add the following language: 

III. Investment Policies and Restrictions: 

k. Equities - Equity securities may be purchased such that this 

segment of the portfolio does not exceed 25% of the total portfolio value. 
External portfolio managers will manage this segment of the portfolio. 
Portfolio weighted average quality will be maintained at no less than A. 



And, 



To approve the amendments clarifying existing activity or grammar listed in Doc. T92- 
031, Appendix F, as amended. 

The next item on the agenda was the Medical Malpractice Trust Investment Policy . Vice 
President Lenhardt explained that the Investment Subcommittee has requested that a percentage 
of the portfolio be invested in equities. Trustee Haynes noted that these investments not exceed 
25% of the portfolio. 

It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance To approve 
the amendments to the Medical Malpractice Trust Investment Policy listed in 
Doc. T90-056A, as amended. 

There being no further business to come before the Committee, the meeting was adjourned at 
8:35 a.m. 

Elizabeth Tu thill Farrell 

Assistant Vice President, Board Relations 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
MEDICAL CENTER TASK FORCE 

Friday, September 23, 1994; 1:45 |H$S$^^ 
Rare Books Room, UMMC '» 
Worcester, Massachusetts 

Committee and Committee Staff : Chair Karam, Trustees Foley, Haynes, Lewenberg and Taylor; 
Assistant Vice President Farrell 

University Administration : Chancellor Lazare; General Counsel Kirby; Vice President Lenhardt 

Chair Taylor convened the meeting at 2:10 p.m., in the absence of Trustee Karam, and turned 
to Chancellor Lazare to introduce the discussion item, University Affiliations with Clinton and 
Marlborough Hospitals . Chancellor Lazare reminded the task force that his administration has 
in furtherance of its strategic planning, has been attempting to work out relationships with these 
two hospitals. He then asked Dr. Arthur Russo to present the full scope of these matters. 

Dr. Russo reviewed with the Task Force the strategic plan of the Medical Center which has 
been undertaken, and a great part of which is affiliating with primary care networks and 
extending market relationships. Dr. Russo further described the integrated network 
development through clinical association that the Medical Center has begun to build. 
Marlborough Hospital fills in a gap in the current regional affiliations, and Dr. Russo reviewed 
the factors that make a relationship with Marlborough Hospital (MH) a positive strategic 
outcome. 

Dr. Russo went on to present a review of the clinical relationship that currently exists 
between UMMC and MH; a review of the gross revenue generated at UMMC through current 
associations with MH and other key descriptors of MH. Discussion was held regarding the 
governance and financial structure of the proposed transaction. The Task Force noted the 
importance of finding the legal and governance structure that will make this relationship and 
others effective and efficient. Further, the Trustees insisted on unified cost accounting for clinical 
operations, and that the subsidiary structure must not obfuscate Trustee understanding of the 
financial issues at the Medical School and the Hospital. 

Also of concern was the due diligence process, which has not yet been entered into, and the 
budgeted costs for the process. General Counsel Kirby reported that the due diligence process is 
budgeted through an outside firm and will be charged back to the hospital. The Trustees would 
like to see the financial reports of the Marlborough Hospital in a similar reporting basis as the 
University currently uses. 

Trustee Karam then presented the vote. It was moved, seconded and 

VOTED : To recommend that the Board authorize and approve negotiations regarding the 
collaborative proposal described in the letter of intent dated May 31, 1994 
between the University of Massachusetts Teaching Hospital and Marlborough 
Metrowest Health Systems, Inc. 



The meeting was adjourned at 3:00 p.m. 



Elizabeth Tuthill Farrell 

Assistant Vice President, Board Relations 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT COMMITTEE 

Tuesday, February 1, 1994 

Quinn Administration Building, Room 311 

University of Massachusetts 

Boston, Massachusetts 



Trustee and Trustee Staff: Chair Haynes, Trustees Karam, Poduska and Oakes; Mrs. Fontaine, Secretary 
to the Board 

Other Trustees: Trustees Lizana and Lewenberg 

University Administration : President Hooker, Vice President Lenhardt, Vice Chancellors Dars, Goodwin 
and Page; Deputy Chancellor Stanton 

Trustee Haynes convened the meeting at 2:50 p.m. The first item on the agenda was the Quasi 
Endowment Fund Policy. Vice President Lenhardt presented the draft policy in response to the interest 
expressed at the last meeting to develop a long term investment and development strategy. The draft 
policy would allocate funds to the quasi-endowment accounts from each of the campus units of the 
system and would be held by the University of Massachusetts Foundation. The funds would be invested 
under the same guidelines as the endowment funds. 

Another alternative suggested was similar to the mission enhancement fund approach the University 
undertook this year. There was a less than optimistic view of this approach given the current budget 
situation. 

Vice Chancellors Page and Goodwin then spoke about potential concerns from the campus 
perspective. 

The Committee suggested that Vice President Lenhardt have prepared for the next meeting, data 
relating to last year's balance sheet and what the impact would be if the University moved ahead with 
this concept. 



The meeting adjourned at 3:30 p.m. 



Cynthia A. Fontaine 2- 

Secretary to the Board of Trustees 



• 



• 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Wednesday, May 4, 1994; 10:00 aaiu 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff: Chair Haynes, Trustee Oakes (via telephone), Vice President 
and Secretary of the Board Boyd and Assistant Vice President Tuthill 

Committee Members Absent : Trustees Karam and Poduska 

University Administration: Vice President Lenhardt; General Counsel Kirby; Vice Chancellor 
Goodwin; Associate Chancellor Leheny; Associate Treasurer Marquis; University Comptroller 
Wanczyk 

Chair Haynes convened the meeting at 10:00 a.m. and asked Vice President Lenhardt to 
introduce the first item, the Ouasi-Endowment Policy. Mr. Lenhardt reminded members that 
this policy had previously come before the Committee and that it is an amendment to the current 
Cash Management Policy of the University. The Comptroller, Ms. Wanczyk, then distributed 
information regarding Balance Sheet and accounting implications that this policy would have. 
Also available as a separate item was a portrayal of the Foundation's investment strategy, 
including the asset mix. 

Vice President Lenhardt then described the proposed policy and identified the basic policy 
question as the Trustees' authorization of the quasi-endowment. The ensuing discussion focused 
on creating a quasi-endowment from operations up to an amount equal to 25% of the book value 
of the University's operating cash portfolio as of June 30. In discussion it was made clear that a 
campus must have a positive current fund unrestricted fund balance in order to be considered 
under the policy. It was agreed to recommend a quasi-endowment strategy as a positive effort to 
improve the University's Balance Sheet. 

Discussion then turned to the issue of amending the Cash Management Policy to allow equity 
participation of up to 25% of the total cash balance of the University. Many issues were discussed 
such as the volatility of the equity market, enhanced return, and so on. The risk being taken is 
that in three of four years, the quasi-endowment return will exceed the fixed income return, but 
in those years as well, negative returns are also possible. The Treasurer's Office will be 
responsible for the program, as well as the hiring of external mangers to invest the equity 
component. 

Lengthy discussion regarding the investment return led to putting forth a few options for 
capping that return, so as to keep from allocating earnings to any excessive levels. It was 
determined that capping the return would safeguard the assets against down years and also keep 
any campus from excessive dependence on the return. The cap could be established annually 
based on expectations or on an average over the last five years. It was understood that the 
Treasurer's Office would propose language in the vote to accomplish this objective. 

Concerns regarding the one percent distribution to the President for development purposes 
were then discussed. President Hooker assured the Committee that the Chancellors had all 



discussed this policy and agreed on the need to devote money to development. The Committee 
reiterated their support for the need to establish funds for use in development and see the quasi- 
endowment as a good starting point for bolstering the total endowment. 

The Committee then discussed information in the materials that identify the impact of 
establishing a quasi-endowment fund. Ms. Wanczyk reported that comparative indices from 
Standard & Poors show that our peer public institutions do have endowments of approximately 
$68 million in total, of which 74% is quasi-endowment, and that if we utilized the 25% allocation 
for FY94, the University would be at $64 million in total endowment with 77% of that being 
quasi-endowment. The level of 25% allocation was then discussed and Committee members 
were reminded that the policy allows for up to 25% and is limited by the individual campus's 
balance sheets which is a second safeguard; this is a conservative allocation measure. 

The major risk in establishing this policy hinges on whether or not the University proceeds 
with the bond program and, if there is no bond program authorized, the money in the quasi- 
endowment fund might need to be used for capital repairs and maintenance. Another external 
risk would be any changes in the State's accounting requirements that threaten the University's 
fiscal autonomy and forces the University to account for its funds in a different manner. 

The Committee asserted that they support the policy and will bring it to the Committee on 
Administration and Finance for action. 

There being no further business to come before the Committee, the meeting was adjourned at 
1055 am. 




Elizabeth H. Tuthill 

Assistant Vice President, Board Relations 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT SUBCOMMITTEE 

Wednesday, September 21, 1994; 8:00 a.m. 

18 Tremont Street - Suite 800 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes; Assistant Vice President Farrell 

Committee Members Absent : Trustees Karam, Oakes, Poduska 

University Administration : Vice President Lenhardt; General Counsel Kirby; Mr. Marquis, 
Associate Treasurer; Vice Chancellor Goodwin; Dean Hayden 

Chair Haynes convened the meeting at 8:05 a.m. and introduced the first action item, 
Treasurer's Investment Report . Vice President Lenhardt referred to the Executive Summary and 
noted that, in particular both the yield and the earnings have decreased since FY93. He further 
pointed out that the report contains some comparison with other benchmarks, and that the 
University is doing very well. Trustee Haynes noted that the work and the report was very well 
done, and asked about the outlook, which Mr. Lenhardt and Mr. Marquis noted is good. Further 
discussion regarding particular aspects of the report and the University's investment strategy was 
held, including bonds portfolio, the equity strategy, and investments in CD's and Treasury Bills. 

It was then moved, seconded and 

VOTED: To recommend that the Committee on Administration and Finance accept the 
FY1994 Treasurer's Investment Report as contained in Doc. T94-091. 

The next item on the agenda was the discussion of the Operating Cash Portfolio and 
Endowment Performance as of June 30 f 1994 . Portfolio performance was discussed under the 
previous item. Mr. Lenhardt did bring to the Committee's attention the UMASS Foundation's 
performance highlights. The Treasurer's Office is working with the Foundation on an advisory 
basis, and determining an appropriate strategy given recent market changes. Following 
discussion on investing in derivatives, Trustee Haynes requested that Mr. Marquis make a 
presentation on staying away from exotic investments and determine whether there is a need to 
make a formal recommendation to the Board for the investment policy. Currently the University 
has stayed away from derivatives. 

After further discussion regarding the UMASS Foundation, Trustee Haynes requested that 
the President investigate the status of subsidiary foundations and other similar groups which 
hold endowed funds and advise this Committee and the Board of Trustees of future plans. 

The next item on the agenda was the Amendments to the Cash Management Policy . Vice 
President Lenhardt indicated that the changes were mainly technical items and that the major 
changes include removing the South African investment restriction and to confirm the quasi- 
endowment policy in the investment strategy. 

It was moved, seconded and 




VOTED : To recommend that the Committee on Administration and Finance amend the 
Cash Management Policy by striking the following: 

IV. Investment Banks: 

6. The institution must adhere to the University's policy on Investment 

which states "The University will not invest in any company or lending 
institution which, either directly or through its subsidiaries or affiliates, 
does business in or with the Republic of South Africa or in countries with 
similar apartheid racial policies." 



And further, 



To add the following language: 

III. Investment Policies and Restrictions: 

k. Equities - Equity securities may be purchased such that this 

segment of the portfolio does not exceed 25% of the total portfolio value. 
External portfolio managers will manage this segment of the portfolio. 
Portfolio weighted average quality will be maintained at no less than A. 



And, 




To approve the amendments clarifying existing activity or grammar listed in Doc. T92- 
031, Appendix F, as amended. 

The next item on the agenda was the Medical Malpractice Trust In vestment Policy . Vice 
President Lenhardt explained that the Investment Subcommittee has requested that a percentage 
of the portfolio be invested in equities. Trustee Haynes noted that these investments not exceed 
25% of the portfolio. 

It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance To approve 
the amendments to the Medical Malpractice Trust Investment Policy listed in 
Doc. T90-056A, as amended. 

There being no further business to come before the Committee, the meeting was adjourned at 
8:35 a.m. 

Elizabeth Tuthill Farrell 

Assistant Vice President, Board Relations 




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